Things we need
Every caller must provide the caller's name and what else?
Callback phone number
Yes
This caller is listed on the account but must provide a firm name and a NIPR number
Agent / Broker / Financial Advisor
5
How may a receiving company (transfer company) obtain the status of a transfer request?
Phone
We can accept this instead of a contract number
Social Security number
Can we give a client more than one try at guessing a password?
Yes, up to 3 tries
This caller must provide a NIPR number and the caller's relationship to the account.
BOA (Branch Office Assistant)
A Conservatorship Certification form is valid how long?
1 year
How may a POA change the address for an account?
In writing
An address is not considered complete without what?
ZIP code
Can we speak to an unlisted caller who is the assistant to an authorized third party?
No
This caller has authority to do transactions for an incapacitated client while the client is alive.
POA or Guardian
The Primerica back office will authorize us to talk to an RVP for how long?
5 days
How may a client give one-time authorization for us to share information with an individual?
By phone (calling with the individual)
What additional security must a back office representative from Capital One provide?
A password
Can we provide the transfer company the 12/31 value of an account?
Yes
This caller has written permission to obtain information for the client but cannot do any transactions.
Authorized Third Party
If a contract is surrendered this long, we can tell a client's family member that it is displaying a zero value.
5 years
How may a client remove a password?
If a trust is the beneficiary on an account, what additional form do we need?
Trustee Certification for Death Claims
If an RMD is paid to a charitable organization, can we give them the client's name?
No
The annuitant on a custodial account is also known as
Beneficial Owner
A client might sign a form to authorize an accountant, friend or family member to obtain information. How long is the authorization valid?
1 year
How may a trustee who is not on the account request an trustee certification form?
By phone