Website
Quotes
Systems
Verification
Call Procedures
100
Where do you go to find your account number?
Client Services > Personal Information
100
Clients buy at the ? and sell at the ?
Ask Bid
100
What information can you find in A2C?
everything - links to diff systems
100
In what situation would you only need to verify one peice of information to consider a client fully verified?
Verbal Password
100
What criteria is there for a password?
7-16 letters/number combo, no special characters
200
What are the names of the systems clients can use to place trades?
Trade Architect, SnapTicket, Think or Swim
200
What do you do if a client, after asking for a MF quote, asks more questions about trading MF?
Get them over to the MF team
200
What would you use RIS for?
Document imaging system, you can see work items and progress of processing
200
Typically, how many pieces of information would you need to get from a client before considering them fully verified
Full Name, 2 pieces of account specific information, 1 piece of account specific activity
200
What 3 main things are we going to do for clients?
-Quotes -Pin, passwords, security question reset -Basic website navigation
300
Where can you direct a client to link their accounts?
Drop down with user IDs, Clients Services > Link Accounts
300
What is the correct way to give a quote to the client?
Restate the name of the stock, give the current quote and the net change
300
What would you use Verid for?
Verifying clients
300
Can you name one thing that a POA cannot do?
Add beneficiaries to non ira or add themselves as an account holder
300
Can you speak with a third party?
Only if the account holder has been fully verified, and only on that 1 call.
400
What does a client need to do to see Real Time Quotes in Think or Swim?
Sign the exchange agreements
400
In TOS, where could you verify that you have the correct stock before giving a quote?
Analyze > Fundamentals
400
What system would you use to send a form to a client?
RAO
400
Can a Limited Trading Authorization trade on the account?
Yes, they can trade and ask general questions about the accounts
400
What is the 1st thing you do if the client is having trouble logging into their account??
What user ID are you using? What website are you on?
500
Where can a client find statements/tax documents?
My Account > History and Statements
500
What systems can you use to verify balances, trades and recent deposits?
AOM, NGOMS, TOS Admin
500
What do you do if you are unable to verify a client with any information?
Do not move forward with the call. If they insist the information on the account is incorrect, you can instruct them to send in paperwork to update the account. You can also get the client to the Resource Desk
500
A clients pin numbers cannot start with?
0
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