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> Process in a Nutshell
> How the Broker Prepares
> How the Branch Prepares
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The success and ease of a project lie in good planning and coordination. Provide us with complete and accurate information, and get materials shipped to us as scheduled. Doing so will ensure that projects go smoothly.
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Contact Broker-To-Broker to schedule a project.
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Provide the following information:
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the exact number of accounts (brokerage accounts, plus outside mutual funds and outside annuities) |
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the date you will get the project materials to Broker-To-Broker |
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the date you need the project back in your office |
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the type of service you wish to employ (Basic, Basic Plus, etc.) |
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We will send to you a Project Order Form that acts as a project contract. This form also serves as a blueprint for how we handle your project. |
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Ensure the Broker’s Client Information has been prepared
(see How the Broker Prepares for a Project).
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In addition to brokerage account information, be sure information for "outside" Mutual Funds and Annuities has been included, if applicable. |
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Check to see if the broker wants customized letter salutations (e.g., "Dear Jim and Peggy") and has noted them directly on the records given to us. Unless otherwise noted, "Mr. and Mrs.", "Dr.", etc. are used. |
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Make sure the records have been alphabetized to facilitate "householding" of clients. A Preparation Fee will be incurred for information not received in alphabetical order. |
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Prepare a prototype Cover Letter for the mailings.
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Decide on an appropriate date for the letter, or you may choose to leave the letter undated for flexibility. |
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If the letter has not been pre-approved internally, please do so before forwarding it to us to avoid delays during the project. |
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If applicable, see that the sender of the letter (Broker or Branch Manager) has provided a signature sample for scanning into the cover letter.
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Complete all areas of the Project Order Form and return it to us. Work cannot begin on your project until this form is fully completed and received. |
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Gather the required project materials for shipping to Broker-To-Broker. Refer to the Project Order Form for a specific materials list.
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Client information |
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Mailing Supplies (letterhead, envelopes, etc.) |
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Cover Letter and Signature Samples (if signature scan is desired) |
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Forms (ACATs plus other forms that you wish to include for client accounts). This step may not be necessary for clients who utilize electronic ("PDF") forms. |
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Business cards for the broker, if available (if not available, you can pop them into the envelopes when they are returned to you) |
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Promotional inserts you wish to include |
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Ship the project materials to Broker-To-Broker via your regular overnight carrier. Please be sure to package the materials securely to avoid damage in transit. |
Please call us if your project or shipping plans change, so that we can "reschedule" the project appropriately.
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