Business Accounts
Do we require a Corporate Resolution Certification on all types of business accounts?
No. Only corporate accounts (Class 12 Account)
Which department would handle calls regarding documents that were sent for e-signature that are not showing up in Client Docs/List Doc?
Electronic Communications Tools > #60, prompt 1
How does a branch go about reopening a closed Select non-IRA account?
Reopen a Closed Account Form Message (WEB589437 )
If a client is unsure what kind of business account they need to open for their HOA, who would they need to contact to determine what entity type they are classified as with the IRS?
Tax or legal professional. EDJ employees cannot suggest or recommend what entity type a client should choose as that is considered tax or legal advice. (WEB6003045)
What department would assist with duplicate profiles found in Financial Foundation?
Financial Solutions Services at #48, prompt 1(Ext 36101)
Where is the first place we should look to determine what information is causing a CIP/RISK restriction?
Client's profile
How would we look up what Class Code an account type is?
Type in Sharepoint "Account Class Codes and Role Codes " and click on the PDF
What department would help a branch determine why the account portfolio objective they are trying to use when opening an account is not available to choose?
Where would we find the branch number and FA number/name that an account belongs to?
GA,Acct# for branch number and/or FA number. Very top of relationship above the URL for branch number, FA number and/or FA's name.
What department would assist with account opening documents on a retirement account (Trad or Roth IRA)?
Retirement Services at #83, prompt 2, sub prompt 3
What department would assist a branch with distributing funds out of a deceased client's account?
Estates Services at #20, prompt 7
Branch calls in and needs help with their monthly recurring distributions from their IRA. What department would assist them?
Need to ask clarifying questions. It would either be #83, prompt 2, sub prompt 2 (Ext 36610) for recurring distributions via SWPS or #83, prompt 2, sub prompt 4 (36612) for recurring distributions via TaSC to another EDJ account.
Branch needs help resending an account authorization form for e-signature. What are the steps to complete that resend?
If document is still in TaSC they can choose "resend/reprint" from TaSC and resend the document that way. If it is no longer in TaSC, direct the branch to F2 Menu>Account Details & Client Info>Registration and Mailing>Click on paper looking icon in top left of account box>Choose Generate Account Authorization