EFTA Document EFTA01423273

Subject: RE: SOF IV names [C] [I] From: Nathaniel Morgan ‹ > Date: Fri, 04 May 2018 15:02:03 -0400 To: Stewart Oldfield Cc: Andrew King William-M Finn Classification: For internal use only Hi Stew — We've submitted 20 and received docs for 19 of your prospects. 2 quick updates/questions: We asked Davide from KCP to submit the request for Southern Should KCP also submit Willett? Financial. Thanks! Nate From: Stewart Oldfield Sent: Wednesday, May 02, 2018 1:27 PM To: Nathaniel Morgan Cc: Andrew King ; William-M Finn a Subject: Re: SOF IV names [C] [I] Ah. That's complicated. Stewart Oldfield, CFA, CAIA Director EFTA01423273 Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. On May 2, 2018, at 1:09 PM, Nathaniel Morgan wrote: Classification: For internal use only Hey Stew, For Willett — you aren't a part of the team in DbForce (Jim Donofrio and KCP East are) so I can't submit an AIS request. Any guidance would be helpful. Gracias, Nate From: Stewart Oldfield EFTA01423274 Sent: Tuesday, May 01, 2018 6:11 PM To: Nathaniel Mor an Cc: Andrew King Subject: RE: SOF IV names [I] [C] Always happy to help you help me From: Nathaniel Morgan Sent: Tuesday, May 01, 2018 6:10 PM To: Stewart Oldfield Cc: Andrew King Subject: RE: SOF IV names [I] [C] Classification: Confidential William-M Finn a> ; William-M Finn a> Thanks for the time on the phone Stew. We've got all that we need and will get rolling on the AIS requests. From: Nathaniel Morgan Sent: Tuesday, May 01, 2018 5:52 PM To: Stewart Oldfield Cc: Andrew King Subject: RE: SOF IV names [I] [C] Classification: Confidential Hi Stew, ; William-M Finn a I've attached the form for the clients in red. Since everyone appears to be in DB force, we don't need the addresses and all that jazz. Just need the standard Suitability/Asset Allocation info, as well as phone #'s and emails if you have them. EFTA01423275 Thanks, Nate Name AIS Info on File Aspen Grove Yes Bright Yes Dimension Yes Dorrance Yes Epstein/Southern Financial Yes Everwatch Yes Forrestal Yes Georgetown Yes EFTA01423276 Gerschel Yes Highlander Yes Yes Ironsides Yes Nicholas Yes Shamrock Yes Slome Yes Third Lake Yes Tisch Yes Warren Yes EFTA01423277 BBR No Ford No Pacific Life No Willett No Annandale No EFTA01423278