EFTA Document EFTA01387713
From: Stewart Oldfield Sent: 8/30/2018 8:04:07 AM To: Martin Zeman CC: Bradley Gillin BCC: Subject: Butterfly Trust - new brokerage account needed I; Liam Osullivan Gents, i; Richard larossi -A Sferrazza [=- Need to open a new brokerage account for Jeffrey. will do some trading but won't be a huge account. Note that Paul Barrett will NOT be trading this account. Please send some pre-filled dots to Rich Kahn for signatures. we are currently doing the annual KYC review for the exi
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From: Stewart Oldfield Sent: 8/30/2018 8:04:07 AM To: Martin Zeman CC: Bradley Gillin BCC: Subject: Butterfly Trust - new brokerage account needed I; Liam Osullivan Gents, i; Richard larossi -A Sferrazza [=- Need to open a new brokerage account for Jeffrey. will do some trading but won't be a huge account. Note that Paul Barrett will NOT be trading this account. Please send some pre-filled dots to Rich Kahn for signatures. we are currently doing the annual KYC review for the exi
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EFTA Document EFTA01408539
Subject: RE: Butterfly Trust - new brokerage account needed [I] From: Richard Iarossi Date: Fri, 31 Aug 2018 12:34:27 -0400 To: Davide-A Sferrazza Hi Davide, First off, nice to meet you, I'm going to be Terri and started last week with the team. working with Stew, Brad and In regards to the KYC documentation, are you looking for a Case # within DB Force to find the documents? Thanks, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24t
EFTA Document EFTA01445148
Subject: RE: Butterfl Trust - new brokers e account needed [I] [C] From: Liam Osullivan Date: Tue, 25 Sep 2018 12:34:48 -0400 To: Stewart Oldfield Davide-A Sferrazza Martin Zeman Cc: Bradley Gillin Richard Iarossi Classification: Confidential Stewart, I have attached the following documents: -Account Agreement o 9th Page — Sign and Date o 16th Page — This page only needs to be completed if the account will have margin. We will need the original account agreement for margin. -Tr
EFTA Document EFTA01406420
Subject: RE: Butterfl Trust - new brokers e account needed [I] From: Richard Iarossi Date: Tue, 04 Sep 2018 15:19:25 -0400 To: Davide-A Sferrazza Classification: For internal use only Hi Davide, The latest approved KYC is 01651789, please let me know if you can pull the docs. I will come back and confirm the validity of the KYC. Thank You, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York. NY 10154 Securities offered
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Subject: DB Force From: Stewart Oldfield Date: Wed, 20 Sep 2017 12:22:13 -0400 To: Bradley Gillin ‹ > We need to add Paul S. Barrett and Alpha Group Capital to DB Force. Can add to the Epstein relationship or keep separate, whichever is easiest. Thanks From: Richard Kahn [mailto: Sent: Tuesday, September 19, 2017 4:06 PM To: Stewart Oldfield Cc: Alpha Group Capital Subject: 9-20-2017 meeting @ 9:30am please confirm address and floor for tomorrows meeting thank you Richard Kahn HBRK
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KYC Print Page 1 of 27 DB PWM GLOBAL KYC/NCA: PART A P2 KYC Case # : 01977694 One sheet must be established per relationship - list all accounts included in the relationshi I. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Oldfield Li New PWM Relationship [el Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new
EFTA Document EFTA01362569
Hi Davide, First off, nice to meet you, I'm going to be working with Stew, Brad and Terri and started last week with the team. In regards to the KYC documentation, are you looking for a Case it within DB Force to find the documents? Thanks, Rich Richard Iarossi Assistant Vice President Deutsche Bank wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. original Message From: Davide-A Sferrazza Sent: Friday, August
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