Client calls in because the joint owner on their account has passed. Who do you transfer this call to? And what 2 things must you verify prior to the transfer.
Retail Inheritance Services(4bene). Last 4 of SSN and Addr.
100
How many ASQ questions must be verified prior to passing a client through security?
2
100
The Change Of Ownership to new account form consist of what 2 forms
COO and ARF
100
Can someone show me the 3 different ways for a client to get to the buy/sell trade path.
Top of screen, right of fund, drop down in account
100
Name 1 closed Money market fund And the daily investment limit?
Admiral Money Market
200
You get a call from an existing Flagship client? Client looking to transfer 200k in securities what extension and what prompt. .
Conceirge Services (BDG prompt 5)
200
How many security Questions must be asked before resetting security questions?
2
200
When removing a trustee, what form, whose signature and what certification do they require to complet
TCF, all remaining trustees, notary
200
Where can you find how much in dividends/cap gains a client had last year
My Accounts --> Dividends And Capital Gains
200
Annual Limit For Flagship clients looking to invest in Primecap or Capital Opportunity.
25k
300
Client is having issues downloading a .pdf?
Web Tech
300
3 things you must state in your introduction?
Recordec Line, Your Name Vanguard.
300
If a client can't verify enhanced security password what form must be submitted?
Account Maintenance Form
300
Where would you find an estimate of how much money a fund would hypothetically make in a month/year?
Tools --> Investment Calculator
300
How many actively managed ETFs do we hold?
0
400
What is the flow for elevated calls for CSS reps?
AR --> Client Manager For AR --> Any other CM --> CSS TL
400
IRA Distribution with tax witholding? On the confirm screen what are 3 things you must verify for call quality?
Trade DAte, Tax Witholding, Bank/Address, Dollar Amounts of transaction
400
2 joint accowners have jt account at Vanguard. They want to link their account with a joint account at a bank owned by 2 other individuals? What form? Who needs to sign? What certifications are needed?
All owners must have notarized signatures in respective signatures. Bank Tansfer Service Form.
400
Where would you go to find tax forms from 2005?
ADR
400
What is the Beta For the Total Stock Fund
1
500
Client calls in looking to establish a new SEP IRA?
x47277
500
What is the one time you can change something under someone elses profile based off instructions of an Agent?
RMD Changing
500
Client wants to get Agent Authority for their mother in a coma what would be req'd?
ACIP form, doctors note, Durable POA
500
Client requested a distribution check how do you find if it has cashed?
Outgoing Check Database
500
What percent of the extended market index is made up of sprint (S)