Taglines for any additional requests that come with a new account.
What is Final Steps and End Conditions
100
Opening an individual non-retirement account only requires this document
What is the Account Registration Form
100
Status code for created work objects
What is ADDTLWO
100
customer type 00
what is individual non retirement
200
On WAVE, it is asking to choose to open a new account, or add to a pre-existing account on file. What is the next step?
What is always choose to open a new account
200
A definition and the paperwork required for each new account being opened.
What is Registration rules & highlights for new accounts.
200
In addition to the account registration from, A trust under agreement may be accompanied by this document
What is the trust agreement/certification of trusts?
200
Nonresident Alien Accounts (NRA Accounts)
What is Flagship/CH File/Indexed
200
customer type 04
What is UGMA/UTMA?
300
The client request CWR on their new account. He's provided his bank info, but no voided check, only a check (matches bank info) to fund the account. What is the next step
Process the cwr request as usual.
300
Form Requirements for a retirement and non-retirement account new account
What is In good order checklist and form requirements
300
In addition to the account registration form, a Trust Under Will requires this document
What is a will?
300
The tagline for potential new TA accounts
What is INDIVIDUAL/NA/INDEXED
300
distribution code 01
What is under 59.5?
400
You have just entered the new email for the account and hit submit. What is the next step?
What is create additional WO & move email from secondary to primary.
400
How to handle different freeze codes on a new account.
What is Special Scenarios – freeze on account
400
When a client leaves out the last 4 of the SSNwhen filling out an ARF, this document may be sent in to process the ARF.
What is a W9?
400
The check status when it is a crew member account and you are not crew member trained
What is holdover.
400
Vast pending code IRA due to death (DOD)
What is 213?
500
The client does not say what they want to do with their dividends and capital (captain?) gains. What is the next step?
What is set them up to reinvest back into Vanguard funds.
500
Documentation needed if a trustee resigns, is deceased, or incapacitated.
What is Special Scenarios – trust documents
500
When opening an organizational account, this vanguard form is required
What is the Vanguard Organization Resolution Form?
500
The tagline for a additional Work Object if the client wishes to add bank to the new account.