Job Title states cashier Occupation "same" is written what will you put on Onboard?
What is Cashier
100
NPF or Non-Proprietary Fund for Acct Registration which KE Script would you use?
What is No OB Account
100
Additional account holder listed on Section 2 of the form and only a Primary account holder listed in Onboard.
What is Reject, Registration Does not Match
100
NEW Form has daytime and evening phone# which do you enter as primary
What is default to daytime phone
200
The name on the BRSU form is different than the name on Onboard, What do you do if the ssn and the dob matches on both?
What is process other data entry. Click Yes Nigo alerts fired and add comments.
200
Number of years with Employer is listed as 4 months what will you list on Onboard?
What is 1 year
200
Client name on the form is Tyler Stevens but Onboard has Carla Stevens which KE Script do you use?
What is Registration does not match
200
Trustee is missing in Section 5
What is Reject Registration does not Match
200
Advisor name and number on the form did not match onboard
What is Reject due to Signature Missing
300
Date of Birth is on the BRSU but missing from OB.
What is DO NOT UPDATE DOB. Process other data entry. Yes Nigo alerts fired and add comments.
300
If Student/Minor is marked and Job Title and Employer Address is written on the BRSU form what do you input on Onboard?
What is Student/Minor
300
When Joint TOD has 3 account holders on Onboard but you only have 2 on the form which KE script do you use?
What is Client missing
300
Multiple Trustees listed in section 5 only one Trustee signed
What is Reject Signature Missing
300
Is realizing state based benefits important to you...is marked no on the form but they also provide a reason. What do you do?
What is Mark NO per the form
400
Date of Birth on BRSU is missing or does not match.
What is Reject using Registration does not match
400
When you are unable to read the amount of Pension/Social Security Income written on the form
What is Leave Blank and add comments
400
Client Signature Date is missing on the form, which KE script do you use?
What is In good order?
400
There is a person listed in onboard in O.P. but that is not the trustee on the form, what do you do?
What is Add the person on the form to Other Parties Associated to the account?
400
If Question 5: Are you or any person, who has a financial interest or controls trading in the acct a FINRA employee.. is marked Yes with no instructions provided?
What is leave blank if client marked Yes but did not provide instructions.
500
Broker crossed out SSN on BRSU and wrote a different SSN# that does not match Onboard
What is Reject using Registration does not match
500
If Other is marked (reason, Guitar Lessons) and Job Title and Employer Address is written on the BRSU form what do you input on Onboard?
What is mark Other
500
DAILY DOUBLE When Onboard is locked by another user, what steps do you follow?
What is click yes, In good order, yes Nigo alerts fired. Then Cancel on the CSD window.
500
Trust listed on the form as Entity and Trust listed on Onboard as Individual