ENC/CRC/NCC
FA wants to pay for an event that will cost more than $1,500. No market materials necessary.
ENC
A client can give you their marriage certificate to clear the PAT ACT SSN verification on the account.
FALSE
The outgoing wire authentication options. Name two.
eAuthorization, LOA (hard copy or esign), one time pass code, Voice ID
The Market Executive for our market and Sacramento.
Jeff Branch
FA is partnering with a wholesaler to hold a dinner for 10 of their top clients. They were verbally invited by FA.
NCC
Account application form can be used to update an address on the account.
FALSE (need the verbal form)
This is how to increase the deposit limit for a client for mobile deposit.
Case Management
The BSOs (Business Service Officers) for the Market.
Sarah Howard, Jana Kearns, and Lynne Okazaki
FA wants to send out seminar invitations to clients.
CRC
SRU can see an attachment in workflow.
TRUE (NNA can not)
The requirement for a check payable to the estate to be deposited into the executor's individual account.
Specific LOA
The AMM (Associate Market Manager) for our market.
Kirk Richards
FA is holding a seminar for 40 clients with a wholesaler. Invitations will be sent. The FA is contributing $2,000 for the seminar and the wholesaler is paying for the rest.
CRC, NCC, ENC
The only document needed when removing a living joint account owner is a Letter of Acceptance (LOA).
FALSE (you need a release and hold harmless form)
The dollar amount for an outgoing wire approval when the client used eAuthorization, the CSA received the information via email, and the BSO/Manager had to call the client.
$500,000
The Field Trainer for our market.
Bruce Worley
A wholesaler is throwing an event and instructs your FA to invite their top 25 clients. Event will use a presentation along with bios of the speakers.
NCC and CRC
Zelle and Check Deposits do not count for the recurring deposit award.
TRUE (also wires, RMDs, and journals)
This is required for any check made payable to an individual (or jointly) being deposited to a trust account.
LOA or endorsement on the back of the check by all payees
The CEO of Morgan Stanley.
Ted Pick