VBA
What department do you send RSG Leads to?
RSG_P4P
What are the two ways clients can receive their security codes
Phone call or Text
What types of accounts cannot add a beneficiary?
What are the ways a client can add or update their bank information?
Profile & account settings, Bank Transfer Form
Yes.
How do you send duplicate statements & tax forms?
Historical Documents
What does a client need to provide in order to start the process of resetting their security codes?
What is the federal money market VMFXX settlement fund?
is the wallet of the account - it is where most people keep "cash" readily available for purchases and were money settles after transactions.
How long does it take for a client to receive their micro deposits?
2-3 Days
Per the service agreement, can we contain place Mutual Fund Transactions?
How do you provide a client's account balance to them?
Price as of DATE, your account balance is. . .
Price as of May 1st, 2025, your account balance is $200,000.35
Do you have a to obtain a TL's approval to reset security codes or security questions?
Security codes
When is 3rd party verification needed?
When crew can hear any additional voices outside of the clients
Once the bank is verified, how long does a client have to wait before they can withdraw funds?
7-10 calendar days
Per the service agreement, what department handles Automatic Investment Plans? Mutual Funds/ETF Establish/Cancel/Edit
INV_STOCKS_ETF_INVEDUCATION_INTERNAL for ETF
INV_VGMUTUALFUND for Mutual Funds
What is the RSG Lead Script?
Have you ever had a conversation with one of our consultants? They’ll be able to talk about retirement, investments and saving options available at Vanguard to best help you. I can connect you. How does that sound?”
In this order
What are the two options for Enhanced Security Passwords? What is the difference?
Enhanced Security Password and Enhanced Security Plus Password
Last 4 of social
What is a VBA restriction? Why is it added?
VBA restriction is the transition from the legacy platform to the new Vanguard Brokerage Account. It is placed when vanguard has to transition a client account for them.
Name a reason a client's bank has been deleted
Payment Reversal, Insufficient funds, Unable to locate account during bank Authentication process
Per the Service agreement, What queue helps with Cost Basis Questions?
INV_MutualFund_Internal
What is the process for Redemption Destination?
Verify check/ACH Amt, Name of the bank, Last 4 of bank acct, date, amt of check/ACH, Call the bank to verify funds will clear, got to the JSS Template tool, select TL Lead approval, select Redemption destination, fill out template, add alert in dynamics, wait for override approval.
What is Good Judgement? Give an example of Unacceptable Criteria and Acceptable Criteria
Unacceptable: Omission vs. Addition, Obvious misses, non-obvious abbreviations and nicknames, Special identifiers or numbers, Client has added additional information to their answer
Acceptable: Plurals or lack of plurals, Transposed words or letters, Missing or added words or characters that don't materially alter the meaning, Addition -vs- Omission, Common nicknames for first names are acceptable, Either/or Responses
What is CIP? WHAT IS THE FAX NUMBER to send the CIP Documents in for the freeze to be removed?
Customer Identification program what is needed Name, TIN, date of birth, and address collected on individual/IRA owner. FAX#484-582-703
When a bank is added to a joint account, does both parties have to provide approval for the bank account to be Authorized? What are the ways to obtain approval?
Yes.
Secure message center & verbal
Can you provide the client with the 7-day sec yield for the Vanguard Federal Money Market Fund (VMFXX)? What two ways can a client access this information?
No.
Products & Services Online & inv_vgmutualfund