Independent
The email address that offices send the DCT to?
What is clientonboarding@commonwealth.com
The Transition team that supports Captive offices
Who is the VTS team
How often consent is needed for Non-Sharing firms
What is always?
The type of case that is created after the office emails the DCT to us
What is Transition Client Onboarding Case?
This is where clients go to to sign documents electronically.
What is DocuSign?
4-6 weeks of prep time
What is the amount of time that offices should give themselves to prep the DCT prior to Join Date?
True or False?
The Advisors office will prep paperwork for all non DO eligible accounts
False. Our VTS team will prep the paperwork for all non DO eligible accounts
Form CRS
FINRA Rule 2273
Completed RRS (without SSN)
What are the forms that are sent to clients either after consent is given (Captive) or in blast email (Independent)
Where offices go to find updated information for cases.
What is their Follow Up Required Bin in COMMunity Link
The program used to updated money movement plans
What is ICP?
The name of the program that offices will go to review all information prior to sending to clients
What is Digital Onboarding (DO)
All PIPs, SWPs, and BEPs plans will be set to/ from this position
What is Cash.
Our VTS team only sets the plans; the office will then need to go in and modify the plans, if needed.
The reason why a client has to sign the Rollover Recommendation Summary
What is the client is being hand delivered the form
The team that creates I360 logins for Captive Offices
Who is VTS?
TOSS
What is the greatest team at Commonwealth? DUH
The Transition team that handles the import and NIGO's anything from the DCT
Who is the TOSA team
The proper way for a Captive (VTS) office to clear NIGO's
What is the office will respond directly to the NIGO case to clear any NIGO
True or False
The RRS will auto-populate in Digital Onboarding once the office reviews and creates accounts.
False
for Independent, The office will manually have to add the RRS to the DocuSign packet and they have to add the client's SSN at that point in time
If Captive, VTS will manually add the RSS to the DocuSign packet
True or False: Bulk Onboarding is only for Transitioning office
What is True: this is a permission that offices will have for their first 90 days at Commonwealth and is not a tool that existing advisors will have access to.
1. Household ID
2. Household Name
3. Advisor ID
4. Reg Type
5. Business line
6. First Name
7. Last Name
What are the 7 required fields needed on the DCT
All SWPs, PIPs and BEPS are created by
Who is the advisors office
True or False: The TOSA do not assist with Captive (VTS) office. Only VTS assists
What is False. TOSA will notate any households that are unable to import and create NIGO Cases.
A reason why consent is required for a Sharing firm joining.
What is they live in an Opt-in state
What is they have opted out of the contra firms privacy policy
This team will assist Independent offices with Non-NFS Accounts
What is the TSP will go over what forms are required for Non NFS accounts and pull them for offices.
Conor
Who is the greatest supervisor at Commonwealth
(We are getting ready for mid year reviews)