ACAT
Consent that appears when submitting a ACAT or a New account through OAA?
CRS to Consent for E- Delivery
What cannot be transferred PTF?
Cash, Money Market Funds
Document encouraged in conjunction with BAT from
Statement
A Plan trustee requires me to release assets
LOA
Transferring money from a bank account
Investments
Form that is encouraged to use for a Partial ACAT
BAT form with (listed securities)
Who is the most common transfer agent for Individual Stock?
Computer Share
Proper turnaround timeframe for a NON ACAT transfer.
4-6 Weeks from the initiation date
Part Serve rollovers greater than 100K
On-boarding Advanced
Name one of the three template scripts for proper RSG positioning.
•Question 1 (mimic the IVR): “Would you be interested in learning more about how Vanguard can help you meet your investment goals?”
•Question 2 (aligned to marketing): “Would you be interested in learning about how Vanguard’s spectrum of solutions can help keep you on track to meet your investment goals?”
•Question 3 (aligned to PSS): “I can connect you with one of our specialist who can discuss whether you are aligned to Vanguard services designed to help you meet your investment goals. How does that sound?”
How many characters does a Fidelity account number have, in order to be ACAT?
9 digits
Known as an electronic version of a certificate/ Share ?
DRS or Book entry shares.
The other Firm has my Former last name!
OATS form
Check got deposited into the wrong IRA (mobile check error) , who helps?
Retirement Recharacterization
open a 529 college savings plan
Educational team
Which document would confirm the clearing institution/custodian for a particular type of transfer?
The firm statement
You are on the phone with a client who has shares from another firm they are looking to transfer over. You are trying to determine if this process can be done through a formless transfer. Which are the two options the client must be qualified for?
OTP or Voice Verification
Third Party Authorization
MSG
Need current custodian signature on Contra firm rollover forms. Proper channels?
ADU tool, Fax, Mail
open a Trust account and fund it using an existing Vanguard account.
COO
The client recently initiated an ACAT transfer into his Roth IRA at Vanguard. The client says some of his dividends were paid out to his old investment account at his old firm. Does the client need to reinitiate the transfer. If not, what do you instruct the client?
No need to reinitiate the transfer. These assets will be carried over through a process known as residual sweep. These sweeps vary in time, can take up to six months.
Shares that are proprietary but can be transferred if converted from D to T shares
Janus Henderson
Top 3 NIGO resolution for non transferable securities
Liquidate, keep at contra firm, hold in another firm, ship over physical certificates
What is needed for a LOA to be generated for a managed account.
Contra Firm rollover Paperwork and a problem case submitted using AWD log in.
Asset movement due to Divorce
COO