Investor Services Cumulative Review

How do service professionals access the Move Money Tool when they are ready to initiate a request?

True or False: Every caller must pass Lexis Nexis before submitting a request to move money from their account. 

True or False: Service Professionals are empowered to update an address for a client's house account over the phone. 

End client authentication requires the verification of ____ data points.

True or False: A CM102 will be required for a check to AOR request if there are no tax withholding instructions

What BETA screen displays the status of an outgoing ACAT transfer in progress?

What form is required to send a check to the address on record from a non-retirement account? 

Select all that apply: What documents are required to change an account holder's last name due to marriage?

What is the Service Level Agreement (SLA) to open a manual account?

True or False: the ACCT screen displays the mailing address, the DAML screen displays the client's residential address

Select all that apply: Which of the following must be done before sending a client a check to AOR from a house account?

Select all that apply: Where can an SP locate the beneficiary on a non-retirement account?

Which LPL form is required to process an outgoing ACAT transfer?

True or False: If a HOLD ASSET BORD is placed on an account due to CIP, purchases and distributions are restricted

Which of the following forms is used to establish checkwriting on a Direct Business account?

Which of the following symbols is a mutual fund?

Select all that apply: Which of the following types of deposits are subject to the five-day hold policy?

Which form will an end client need to complete to receive their portion of funds from the deceased's IRA account?

True or False:  End clients can only request a check to the AOR without a financial advisor entering the request.

True or False: All Service Professionals are empowered to add or remove restrictions from the BORD screen in BETA.