Use LEFT and RIGHT arrow keys to navigate between flashcards;
Use UP and DOWN arrow keys to flip the card;
H to show hint;
A reads text to speech;
3 Cards in this Set
- Front
- Back
- 3rd side (hint)
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 |