Verifying IA
Client Central, Salesforce, MyQ.
What are systems where I can locate IA authorization information?
The client grants limited authorization.
What is LPFA?
Is a person who has capabilities of both an authorized agent and a non-authorized agent except for the ability to place trades
What is a hybrid agent?
Individuals authorized by IA firm to act on firm’s behalf on their client's sub-accounts.
What are Authorized agents at a firm?
Allows me to do an internal transfer of cash or securities with first party registration.
What is WFPA authority?
This is an exception process that the firm has on file with Schwab to allow this type of agent on their masters.
What are Hybrid Agents?
Verification must be done _____ to releasing information or accept general trading, disbursements instructions on sub accounts.
What is prior?
Individual(s) who signed the most recent account application and is listed on the Schwab account.
What is an account holder?
Is the case type for hybrid agent approvals.
Can't disburse funds or give fee deduction on accounts.
What are no Trade Agents?
Place where I can check if the movement can be done with WFPA.
What is the IA with WPFA decision tool?
We can take information, they can receive information, but they cannot assist in trades outside of AI.
What are hybrid agent capabilities?
Is not authorized to receive any information on the account.
What are agents/IAs not listed?
Client central notes, note pad, SharePoint library.
What are places where I can locate hybrid agent information?