Authentication
High-Risk
Client has cash available in brokerage balances and wants to move it into their linked chase checking account
Money Transfer
"I want to know what your highest paying CD rates are"
Telephone Banking
"I just got married and my last name changed, how to update that?"
Name change form - brokerage forms
CO45 restriction shown
"I need $5k to fix my car. I don't know what I should sell"
Transfer to CID
Authentication used when an internal employee is calling
Connectus (Case coded as internal)
Client "sold all" of their mutual fund and they are not sure how much money the proceeds will be
IR ticket
"I need to get a replacement debit/credit card"
Online Banking Support
Standing phone instructions or IRA dist form
"I have a 401k and need some advice on what I should do next. It's not much, but it's about $10k. I don't know whether it's pre-tax/roth or both"
Our advisors require a minimum of $25k. If you have other outside assets, we can connect you. Otherwise, the only advice we can give is to create an SDI retirement account and recommend to speak to the 401k provide to clarify what type of money is in the account.
When a client is asking for both general information and a medley of questions that pertain to the account. No changes are being requested to the account
Low-Risk
Client wants to move money into their SDI brokerage account from a brokerage account held elsewhere
ACAT
Speak to your advisor or provide the annuity company's phone number located in daily rundown
"My address is right on my checking account, but it's still wrong on my investment account. I need this changed so my confidential information doesn't go to my shady last apartment complex"
Demo ticket - mailing address change
"I want to setup an UTMA for my grandchildren. I'm not sure what to invest in for them"
Refer them to local branch or to chase.com/education for more information on educational account.
A beneficiary calling in for their dead relative's account.
Trick Question - No Authentication
Full SSN or Account number and the full name on the account.
Client wants to rollover a check from their 401k into their IRA. They haven't done anything yet
"I used to have an advisor, but he went to a different firm. I want help with my wealth and see if I'm ready for retirement. "
NB - PA
"I just turned 18 and want to change my UTMA account over to me from my grandma, she's right here next to me right now trying to help and even she is confused"
Transfer to vested minor form - Located in DIY Forms gallery
"I want something FDIC insured and I want to know what your highest rates are to compare them against what I'm getting at a competitor. What products is JP Morgan offering and how much % will they pay? I'm a very sophisticated investor and don't need any of those money-grubbing advisors to help me"
Telephone banking for CD rates - Screener for Brokerage CD options
The system has broken! You can't seem to get passed creating a case to get into the callers account
CAT - Customer Authentication Tool
A client yelled at a teller and is now being exited from all of their accounts. They are upset and haven't started anything. They have the following accounts -
Checking, Savings, SDI Brokerage, SDI Retirement, Managed brokerage account, Annuity, Trust, Business account
"I can't login! Your services are terrible and I can't get my money out of the account. I've moved, my phone was stolen, and I think there is some fraud going on"
(4 part answer)
No transfer needed if an account can be found and no fraud ticket has been created. Create a ticket
Fraud restriction shown on account - Escalations
Fraud ticket is in progress for a deposit account - Transfer to Fraud dept.
Can't authenticate - refer to branch
"I accidentally initiated an ACAT transfer OUT instead of transferring IN. I want to get this fixed ASAP so I can continue daytrading."
Rescind Request (on a best efforts basis) - Reinitiate transfer in reverse on chase.com if able to rescind. If not able to rescind for JP Morgan, reach out to contra firm.
"Help! I have money coming to me from my deceased grandmother. She's gifting me millions in various accounts. I'm pretty far from a branch. "
NB - PA Dedicated