Banking
Client added a bank manually, how long will it take them to get the 2 micro deposits
2-3 business days
When making an outcall, what information will you need to confirm?
Let the client know they are on a recorded line
Your name and Vanguard affiliation
Caller is reporting the death of her husband. He has a traditional IRA and individual brokerage account
coo_basic_dtd
Who can bypass bank verification hold
no one
What is an acceptable reason to begin the security code disable workflow?
The clients security code phone number is no longer active
Client wants to place a stock trade
inv_stock_etf_transactions
What is the correct form to use when adding a bank to a Vanguard account?
EBTF
How do you put a caller through security if they are calling regarding an account they are a full agent on?
Pull up the agent’s profile and take them through their security
General cost basis questions
Inv_Stock_Etf_InvestEducation_internal
Client is calling about a lost or stolen check. Provide the steps to find the check details
quick client search>other searches>outgoing check>bank of ny mellon, enter account number.
How many attempts does a client have to answer a security question?
2
Client is 21 and wants to take control of a UTMA account opened by their parents
COO_Basic_Internal
When the same bank is added to two different Vanguard profiles and four micro-deposits appear in the bank account, what criteria is needed for JSS to provide confirmation?
The bank account owners and/or full agent(s) can provide all micro deposit amounts.
A person calling regarding their deceased mothers account, what must be confirmed to pass decedent security?
Callers name and relation to client
Verify address on record
Decedents name, Last four of SSN, Zip Code
Client is transferring in $2 Million dollars from another institution
ONB_TOA_500k_Plus_Internal