Operations

Fidelity IWS Internal Support

• Fidelity: Account Restriction Codes
• Fidelity Gifting Shares, Charitable Contributions forms
• NFS and Fidelity: 1st & 3rd Party Transfers
• Fidelity and NFS Check Deposits: Cut-off Time Info

NFS Fidelity Internal Support

• NFS: Third Party Access Rights
• NFS: RMD and life expectancy plans
• NFS: FBSI Adding Additional Account owners to a new account
• NFS Gifting Shares, Charitable Contributions
• NFS: ICP AMA lvl authorizations

Pershing DBS Internal Support

• DBS Ineligible Esignature Docusign Forms
• DBS checking the transferability of assets

Charles Schwab Internal Support

• Schwab: Charitable Contribution

TD Ameritrade Internal Support

• Use of the TD Name

Wealthscape

• Wealthscape: NFS and Fidelity UTMA UGMA accounts report for clients turning age of majority
• Wealthscape Fidelity and NFS: Mobile Check Deposit [How To Document]

Branch Office Procedures

• Trading Procedures - Fixed Annuity
• Pershing NetX360: International and Foreign Exchange (FX) Trading
• Trading: Spire Assisted Trades
• procedure: Commission Override / Miscellaneous Fee Override
• CORRESPONDENCE.
• NEW ACCOUNT PROCESSING & APPROVALS