Sample Client Services Check List

Intern Learning Goals:

YES/ / NO

DATE

Navigate the following systems:

1

Gold Mine:  Find client, enter client information, scroll through tabs, email, internal email, link & relink email, schedule events.

2

Schwab Institutional: Check alerts, look up account information, be familiar with forms on website - what they are, where they’re located, account procedures guide, mutual fund resource page.

3

Waterhouse Institutional: Look up account information, be familiar with forms found on website, locate fixed income offerings of the day.

4

SEI: Look up account information, be familiar with forms found on website.

5

NATCo: Look up account information, be familiar with forms and new account checklists found on website, generate account reports.

6

SchwabLink: Be familiar with BFA four master accounts, locate accounts by name or number, check account activity status, know what account information can be found here, i.e. SS #, date account was open, title.

7

AdvisorMart: Look up client/account balances, filter on specific information such as balance, security, transaction type, run reports.

8

Open an account or be familiar with the process at:

NATCo

Schwab

Waterhouse

9

Transfer assets to or be familiar with the process at:

NATCo

Schwab

Waterhouse

10

Know procedure for changing title on accounts, adding account holders, titling under Trust – documentation needed, necessary signatures, timeframe.

11

Know procedures for disbursing money via ACH, MoneyLink, wire, check – how to check account to insure cash is available, documentation needed, necessary signatures, timeframe.

12

Be familiar with transferring funds between accounts – which characteristics allow you to do this, what documentation is necessary, timeframe.

13

Know how to search for client and account information in Worldox without inputting client name - use characteristics such as user, date created/updated, sent to, key words.