Security
How many ASQS does the client have to pass to fully pass through security?
2
Are we allowed to add a bank for a client?
No
Who can call in and speak about an organization account?
Authorized individual
Can an agent transition an account to VBA?
No, the account holder must transition the account
When should third party security be used?
As soon as you hear any noise in the background.
Yes
What form is needed to change an authorized person on a org?
Organization Resolution Form
Can vanguard rep's disable security codes if the phone number is still active?
NO
Why would a clients check bounce after transitioning to VBA?
What is the procedure for when an agent calls in for a client?
Pull up agents profile and get them through security
Investments
If a client provides vanguard with a copy of an external POA (from the state), can they act as agent on behalf of a client?
No, vanguard requires the client to complete vanguard's version of a POA
Where does the client go to self-provision re-registering for online access?
The client would click on " Set up online account access " on the personal investor log in portal
Can a client buy vanguard funds after the AVBA process has taken place?
No, the AVBA restrictions must be removed
What does the client have to do if they fail their enhanced security password?
Restore Access Form
client is a new investor and already has a bank added but wants to add 2 more banks, what is the appropriate waiting period to do so?
Is an account owner able to sign as a witness at the notary to complete the full agent form requirements?
No, the account owner cannot sign as a witness at the notary.
Is it possible to unlock web security questions and disable codes on the same call?
Associates cannot unlock web security questions and disable codes on the same call.
Can a spouse transition another spouse's account?
No, the account owner must transition the account
Can clients disable Security Codes once they enroll a Security Key?
Yes, clients can disable Security Codes
If a joint owner calls in wanting to add a bank to the joint account, what steps does the other joint owner have to do?
If joint owner is online registered they should receive a message in the message center to approve the bank for the other joint owner to have the bank on their profile.
What other documentation is needed for an ACIP form to be IGO?
Vanguard’s Report of Incapacity Form (ROIF)
Account owner’s Durable Power of Attorney (DPOA)
What are the three ways a client can pass security for an internal rep to remove a "client-initiated web block"?
Standard phone security
One Time Passcode
Voice Verification
Name one service that can stop a VBA transitioning from happening
Automatic Investment Plan