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What do you do if a regulatory examiner has inquiries related to WF?
ID the examiner. DO NOT provide access to the FAs (Financial advisor) desk or office. Contact wealth and investment management!
FA
What are the requirements for a joint meeting with LB, RBPB and FAs with customer
Team member must not discuss anything
What would you do if a customer has investment related complaints
Refer to the regional brokerage manager or calls wealth and investment management
RBG
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