Client calls in because the joint owner on their account has passed. Who do you transfer this call to? And what 2 things must you verify prior to the transfer.
Retail Inheritance Services(4bene). Last 4 of SSN and Addr.
100
How many ASQ questions must be verified prior to passing a client through security?
2
100
The Change Of Ownership to new account form consist of what 2 forms
COO and ARF
100
Can someone show me the 3 different ways for a client to get to the buy/sell trade path.
Top of screen, right of fund, drop down in account
100
Name 1 closed Money market fund And the daily investment limit?
Admiral Money Market
200
You get a call from an existing Flagship client? Client looking to transfer 200k in securities what extension and what prompt. .
Conceirge Services (BDG prompt 5)
200
How many security Questions must be asked before resetting security questions?
2
200
When removing a trustee, what form, whose signature and what certification do they require to complet
TCF, all remaining trustees, notary
200
Annual Limit For Flagship clients looking to invest in Primecap or Capital Opportunity.
25k
300
Client is having issues downloading a .pdf?
Web Tech
300
If a client can't verify enhanced security password what form must be submitted?
Account Maintenance Form
400
What is the flow for elevated calls for CSS reps?
AR --> Client Manager For AR --> Any other CM --> CSS TL
500
Client calls in looking to establish a new SEP IRA?
x47277
500
What percent of the extended market index is made up of sprint (S)