Enter Title

General

100

What are the 4C's?

Connect, Commit, Confirm, Contribute

200

What words make up EPTA?

explain, permission, time, appreciate

300

Client needs to make a withdrawal from a 401k... what queue?

QP

400

I got a confirmation about a trade but I don't remember requesting one... do you know what might have happened?

debit sellout

500

What COLA screens give authorzied persons information?

KS72-76

Brokerage

100

What is the brokerage equivalent to COLA?

BETA

200

Where can we find brokerage sweep rates?

price card

300

What tab on Thomson tells us when the account was opened?

Account information

400

What is the minimum balance to activate ONE account features?

$500

500

"Why are your fees so high at Ameriprise!?"

Full service firm with a focus on financial planning...

Verification

100

What do we need for basic verification?

name, DOB, acc # or client id or group #, last 4 of ssn

200

What information can we give to an unverified caller?

general info

300

What are 2 low risk items that can be used for alternate verification?

last 4 of bank, drivers license, or authorized person 

400

What are 3 medium-high risk alternate verification items that can be used?

• Client phone number (KS22, Advisor Mobile or Client Viewer) (can verify any phone number listed)
• Advisor location (must verify city and state of existing advisor (SC52))
• Full name and full DOB of someone else in the household group
• Email address (KS80)
• Previous home or mailing address on file (eWorkflow change of address cases, KS24 client level address, KS28 for account level address history)
• Advisor full name (SC52) (marketing name is acceptable)
• Beneficiary's full name (use BN01, Advisor Mobile or Client Viewer to verify only one beneficiary listed on any of the client's accounts or plan designations)
• Client's current 5-digit ZIP code, for either home or mailing address
• Client's Employment Status, Occupation, and Employer (i.e., employer name) (KS06, KS08, KS82, Advisor Mobile or Client Viewer)

500

You cannot verify the caller and they are mad. What do you say?

it's important we keep our clients' info safe...

IRA's

100

5 types of IRA's?

traditional, roth, inherited, sep, simple

200

What is the premature distribution penalty?

10%

300

What type of IRA can be involved in a rollover?

any

400

Harley Rhoades received a check from the retirement account at his previous employer. He would like to deposit it into his existing IRA. What should Harley do?

Indirect rollover

500

What tax form is generated when you make a distribution from an IRA account?

1099-R

Mystery

100

What is the change for the dow jones so far today?

?

200

What is the current price of AAPL?

?

300

Finch Kingfisher previously contributed funds to her Roth IRA. She now wants this transaction to apply to her Traditional IRA instead. What should Finch do?

recharacterization

400

If a client wants to sell a bond within their brokerage account what do they have to do?

talk to their advisor

500

What is the extension for anti-fraud?

11208