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3 Cards in this Set
- Front
- Back
- 3rd side (hint)
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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 |
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What are the requirements for a joint meeting with LB, RBPB and FAs with customer |
Team member must not discuss anything |
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What would you do if a customer has investment related complaints |
Refer to the regional brokerage manager or calls wealth and investment management |
RBG |
