NIGO
If the client has a full agent on the account and is filling out the EBTF, who needs to sign?
Both client and full agent
Can you generate/enable password if they have missed the initial security question when calling in?
No
When a client would like to take his minimum required distributions, it would be transferred to what journey?
ret_cont_dist_rmd_internal
What type of agent is read only?
Informative
What is the deadline for VBA transition to not be assessed the ASF?
September 1
If a client calls in about Checkwriting NIGO that is missing a joint account holders signature, how can the joint holder submit their signature.?
Will have to submit a new form via mail/intelledox, can not piece mail.
When a client calls in but wants to put their partner on the phone, what are the necessary steps that needs to be taken?
Get 3rd party verification and reintroduce yourself to the 3rd party and state that you are on a monitored and recorded line at Vanguard.
When a beneficiary calls to notify Vanguard that the client has passed and the client has an estate account, which journey does he get transferred to?
Coo_complex_internal
How can the client add a limited agent to the account?
Step 1: Grantor logs in to vanguard.com
Step 2: Click "Profile and Account Settings" -> "Security" tab
Step 3: Click “Account Permissions” link
Step 4: Click “Grant Access Online” link
How much is the ASF?
$25
When a client sends in an organization resolution form and its missing supported documentation, what are the documents that we accept?
Board Minutes that has to be signed by an authorized individual by the org
-LOI signed
-Corporate Resolution
-Secretary Certificate
When someone calls in to notify Vanguard that the client has passed, what security questions do you ask before you transfer to coo?
Decedent’s full name
Decedent’s full address
Last 4 of SS# OR full acct. #
Approximate date of passing (if first notification)
Relationship to client
What journey do we transfer to if client is interested in purchasing a cd?
ITS_FI_CD
What are three titles that are accepted on an Organization Resolution?
The titles that are acceptable are Director, President, Officer (Trust Officer), Manager, Managing Member, CEO/CFO, Vice President, Treasurer, Controller, Chairman, Asst. Director, Trustee, Secretary/Clerk, Pastor, General Partner, etc
What is the amount that client's will be exempt from the ASF?
$5,000,000.00
What are the requirements for a W9 form to be accepted on a minors account and how can the form be sent in?
The minors information should be filled in and the custodian on the account will be the signer and it should be with in 90 days. The form should be sent either mail or intelledox/docusign.
Clients that are NOT web registered have an option to establish one “Phone Security Question”. How many chances do they have to answer incorrectly before moving on to ASQ’s?
Clients get three chances to answer this one phone security question correctly before moving onto the ASQs.
If a client has questions about a transaction on their SIMPLE IRA which was one of their ETF's fund, where would you transfer the client to?
Inv_Stock_Etf_Investeducation_Internal
What documentation is needed to add a trustee to a TRUST under agreement?
Who handles VBA transition for TRUST accounts?
COO_Complex_internal
Can you add a successor as trustee on a trust account?
No; You would have to be listed as a trustee or a co-trustee on the trust.
When the client comes in voice verified and the client needs to disable the phone number b/c they have changed their number. What additional security do you have to put the client through before disabling?
No additional security is necessary as voice verification is the highest form of security.
Where would you transfer a client who needs assistance with a wiring form?
Inv_Specializedtrading_Acctsvcs_Internal
What documents needs to be submitted along with the ACIP form?
POA (certified copy) has to be signed before the letter of incapacitated signed by a physician which both have to be with in 90 days.
What is the minimum balance you can maintain to avoid automatic liquidation of account?
$1,000- $3,000-depending on the fund