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EFTA01268347.pdf
AI Summary
Email correspondence between Richard Kahn of HBRK Associates and TD Ameritrade financial consultant Chad Markland discussing asset transfers and the sale of specific corporate bonds (Citibank and JP Morgan Chase preferred securities). The document shows routine financial planning communications from early 2019. [Rating: 4/10 - Standard financial services correspondence with some case-specific content regarding asset transfers and specific investment holdings]
Flags
financial_transactions
Extracted Entities
| Name | Type | Context |
|---|---|---|
| Citibank | organization | Issuer of preferred securities (Ser K 6.875%) being considered for sale |
| HBRK Associates Inc. | organization | Investment firm located at 575 Lexington Avenue, New York |
| JP Morgan Chase | organization | Issuer of preferred securities (7.9% Pfd 4/30/2049) being considered for sale |
| TD Ameritrade | organization | Financial services company providing brokerage and investment services |
| Chad Markland | person | Senior Financial Consultant at TD Ameritrade providing investment services |
| Jeanne Brennan | person | CC'd on email regarding asset transfer discussions |
| Richard Kahn | person | Client of HBRK Associates Inc. discussing asset transfers and bond sales with TD Ameritrade |
Full Text
From: Picharsthabo To: Cc: Jeanne Brennan Subject: Re: TD Ameritrade Date: Tuesday. February 5. 2019 2:25:07 PM lets talk tomorrow about transfer of assets additionally does TD have the capacity to sell these bonds: Citibank Preferred Ser K 6.875% JP Morgan Chase 7.9% Pfd 4/30/2049 how is 10am EST to talk? thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 On Jan 22, 2019, at 5:14 PM, wrote: Hey Rich, No worries, what would be a good time to call you tomorrow? Sincerely, Chad Markland Senior Financial Consultant Phon Fax: ( E-mail: invw tdamentrada earn <irnage001.png> Member FINRASIPCNFA This message is confidential and sent by TD AMERITRADE solely for use by the intended recipient. If you are not the intended recipient CONFIDENTIAL SONY_GM_0001 2248 EFTA_00122898 EFTA01268347 you are hereby notified that any use, distribution or copying of this communication is strictly prohibited. If you have received this electronic transmission in error, please notify us by telephone at 800-669-3900 immediately. This should not be deemed as an offer or solicitation, to buy or sell any product. Any 3rd party information contained herein was prepared by sources deemed reliable, but is not guaranteed. TD AMERITRADE does not accept electronic instructions that would require an original signature. Information received by or sent from TD AMERITRADE is stored, subject to review, and may be produced to regulatory authorities or others with a legal right to such. From: Richard Kahn [mailto: Sent: Tuesday. January 22. 2019 4:10 PM To: Markland. Chad W Subject: Re: TD Ameritrade sorry i missed you today lets talk tomorrow thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New Y N 122 On Jan 15. 2019. at 4:54 PM. wrote: Rich, Thank you for taking the time to speak to me today and helping me understand your financial needs. As your Senior Financial Consultant, my primary focus is to understand your goals and guide you through available investment solutions that could best help you pursue them. And as your financial needs change over time, I'm here to help you navigate and adjust your plans accordingly. As we discussed, my priority is to offer you more personalized service and support, including: SDNY_GM_00012249 CONFIDENTIAL EFTA_OOI 22899 EFTA01268348 • One-on-One Support: I'm here to get to know what's important to you and support you with ongoing portfolio reviews, defining and tracking your financial goals, and check-ins to help you get the most out of your experience at TD Ameritrade. • Personalized Guidance: Once I understand your goals, objectives, and investing style, together we can develop an investing plan and identify solutions that may be a good fit for you. • Extensive Planning Resources: I can help you gain a better understanding of the tools and resources available to help you manage your portfolio, research investments, and place trades. • Access to Specialists: I can connect you to our knowledgeable specialists, who can provide added insight in several areas, including annuities, fixed income, trading, and professionally managed portfolios. I look forward to helping you with your investing needs. Should you have any questions or concerns, I'm available 8:30 a.m. to 5 p.m. CST, Monday through Friday. Best regards, Chad Markland Senior Financial Consultant E-mail: swoudamminsiassm <image001.png> Member FINRAISIPCINFA CONFIDENTIAL SDNY_GM_00012250 EFTA _00122900 EFTA01268349 This message is confidential and sent by TD AMERITRADE solely for use by the intended recipient. If you are not the intended recipient, you are hereby notified that any use, distribution or copying of this communication is strictly prohibited. If you have received this electronic transmission in error, please notify us by telephone at 800-669-3900 immediately. This should not be deemed as an offer or solicitation, to buy or sell any product. Any 3rd party information contained herein was prepared by sources deemed reliable, but is not guaranteed. TD AMERITRADE does not accept electronic instructions that would require an original signature. Information received by or sent from TD AMERITRADE is stored, subject to review, and may be produced to regulatory authorities or others with a legal right to such. SDNY_GM_00012251 CONFIDENTIAL EFTA_00 122901 EFTA01268350