{ "media_type": "text", "post_content": "Client calls cuz he wants to transfer his account to a IRA. Asks abt the process but he's wasted my time w BS questions before and not my job to transfer his account. Compliance issue if I ignore him?", "post_id": "59c330fe13852a0782b8ff6d", "reply_count": 6, "vote_count": 5, "bowl_id": "599feb177c057d0010be0554", "bowl_name": "Financial Advisors" }

Client calls cuz he wants to transfer his account to a IRA. Asks abt the process but he's wasted my time w BS questions before and not my job to transfer his account. Compliance issue if I ignore him?

like
Posting as :
works at
You are currently posting as works at

I say that until the second that the funds transfer out that is YOUR client. We win some we lose some. Be professional and help YOUR client out the door with all the grace and enthusiasm that you led them in your door.

like

Well, you said he is already a client right? What's his AUM with you? I mean sometimes you gotta do some charity work for your clients is you are getting paid on the assets. I mean legally I don't think you have to, but in the interest of keep the relationship you should. If you ignore him there's a good chance he's going to fire you. If that's what you want and this guy sucks, man up and fire his ass. I'd do that just out of respect.

Tell him to initiate the transfer and you will help handle the request when it comes over. You have no legal problem here. Just need to make sure the transition is smooth as long as their request is in good order.It is not your responsibility to initiate the transfer. That has to come from the other guys. You cannot call them and work through it directly with them, nor should you. There is too much liability if you intervene. I would simply tell him that you can help once they initiate the transfer request.

Make the cash available and tell the client transfer issues are between the transfer departments of the firm.

I have no idea if you have a regulatory obligation to do anything, but why even find out. If someone wants to leave, you should help them, if you are kind to them they might come back.

Regulatory doesn't seem like the issue. Have a customer associate call them to answer questions. They can be referred back to you if they actually move forward.

Related Posts

Gonna have a great cry (mixture of joy that I'm leaving this project and anger that I even took it) on my way home today. Happy Flyday. Lol.

like

How is CSX as a client at Nagarro?

like

Staffed on a project, where I am responsible for QA the tickets and there's no defined criteria; Also I don't have much background (because I am staffed during the middle of the project). Almost everyday, my boss would ping me and challenge why certain people created the request and I did not catch the rationale/gather all the information. I HATE this type of work as I think it's not adding any value to my portfolio. Now I received an Industry offer, jump??

like

When you come off a huge, life consuming project... and you try force your dumb brain to enjoy downtime like a NORMAL HUMAN BEING, but instead u bumble around looking for purpose like a panicky potato

likefunny

Anyone transitioned from client side? Are the hours honestly better or is that just an agency fantasy?

like

Best places to try and meet guys during the week while traveling for client?

I get nervous when I have to communicate project status in huge conference calls. Any tips?

like

What do you do when a client doesnt like you

like

How stressful are project management roles at banks

like

When the principal tries to explain the project in a client meeting after not being involved for 3 months...

Post Photo
likefunny

Does anyone else here have a passion to eventually start your own company someday? I really just want to work for myself, be my own boss, make myself money, etc but I don’t know where to start. Should I start a side project on the side? Figure out what I’m passionate about, what can make me money, etc?

likehelpful

First year out of college, on a project with typical mon-thurs travel. Was fine with it at first but now after the 6 month mark starting to get pretty tired of it, now having second thoughts if the...

like

I am so grateful to have a job right now but I am really struggling. I’ve been at D for a little under a year and have been really unhappy with my experience. In particular, my current project and my direct supervisor make me feel unbelievably incompetent and under appreciated. Given COVID, there is little flexibility to roll off. I’ve tried to stick it through but I’m at a breaking point. Any suggestions on how to make the best of it? Or next steps?

like

Deloitte folks, what is your year to date client billable hours ? Disclose your level as well please.

like

Client creating a role to hold me for 7 months until major project starts. I plan to move to a diff region in 6 months. Do I tell account leadership?

like

Need advice - when partner says create an agenda for the meeting with xyz client. I can't tell if he's asking for a deck or just a one-page bullet point of talking points? Thoughts?

like

How is commercial hiring in DC/Arlington for Deloitte, for either client-facing or internal roles? I've been applying to the tons of open spots for a while, but am not having any luck.

like

Art director presents idea we were both tasked to do. The entire concept is mostly my idea, and has a key element that she did not like and almost refused to add. I basically pushed her to add it. It’s that part that the client actually loved, and when the meeting ended, everyone thanked her and congratulated her, and she said “thanks”without giving me a mention. Even our cd and account folks. Should i let it go?

like

What’s usually an okay time to arrive/leave on Mon & Thurs? First project is going to require 4 hr flights and 1hr of travel from home and client-site airport. Very limited on flight options overall.

like

Additional Posts

Do you think I could expense a weekly meal delivery service (it’s precooked - just have to microwave it) during busy season? Would be delivered to the office and is cheaper than ordering in.

like

First M&A day 1 readiness project and its killing me but I absolutely love it...

like

What are your firm’s best & worst benefits?

Has anyone given interview in Apple Inc the first round is live coding test any guidance on the process and questions would be really helpful or if anyone working in Apple can help that works also be great .

Currently pushing for a promotion and trying to gauge what salary I should be asking for. Any thoughts on starting salaries for senior strategists? Or a typical percentage increase from current?

like

Can you get Global Services during the year or only after the year is over?

like

Referral for FaceBook Diversity Equity & Inclusion Manager? Looking for someone who is currently a Diversity Equity & Inclusion Manager for a tier 2 city and previously a DEI Program Coordinator for a tier 1 city.

like

I interviewed for an internship at an agency I wasn’t super excited about, but wanted to get some interview practice in. When I met the ACD who interviewed me, we really hit it off and it made me (..)

Choose one: Boat, airplane, supercar, or vacation house. ⛵️🛩🏎🏝

like

Is it possible to find a job in audit in Europe without being qualified accountant? (passed 11 out of 13 ACCA exams)

likehelpful

I'm having difficulties connecting with my team over Zoom, and I'm feeling lonely. Anyone else?

like

Frontier Airlines $38 one way tickets: 👍 or 👎?

like

Maternity leave is ending soon and we'll be hiring a nanny. Any recommendations on services to facilitate payroll, taxes, workers comp? Would love to hear examples of what people are using. Thanks.

like

My husband and I were watching the LuLaRich documentary and he pointed out the the big 4 firms are very similar to MLM pyramid schemes. 😆🤔🧐

likefunny

Has anyone recently traveled from India to US via Emirates or Qatar? These are good options for my parents to visit from India but not sure if there are any restrictions to keep in mind. I heard Air India and United have no restrictions although not very convenient for me. Thank you

like

Hello fishes, Do we need to update our address on H-1B approved petition and PERM (still in initial PWD stages) if changing our resedential address within a 5 mile radius? Would be great if any immigration lawyers could weigh in.

like

So, what if your kid is in a 6 person Montessori class with no interaction outside of their “pod”, serious disinfection and prevention practices and all the other parents are super socially conscious and aware. 2 teachers per classroom and no infections during summer school on campus. Yay or nay?

like

What is the salary range for Real Estate Tax Senior (NYC office) at EY?

Can we not call it TrumpCare or ObamaCare and just call it the Affordable Care Act like it should have been from day one. Stop playing politics with healthcare. People die from this BS.

like

Hubby is interviewing with AWS — made it past phone screen to the 5-6 hour interview day. Anyone have insights on what to expect?

like

New to Fishbowl?

Download the Fishbowl app to
unlock all discussions on Fishbowl.
Download Fishbowl to see what others are saying
That was just a preview…
Sign Up to see all discussions
  • Discover what it’s like to work at companies from real professionals
  • Get candid advice from people in your field in a safe space
  • Chat and network with other professionals in your field
Sign up in seconds to unlock all discussions on Fishbowl.

Already a user?
Login here

Share

Embed this post

Copy and paste embed code on your site

Preview

Download the Fishbowl app

Get realtime notifications and see
what's happening in your industry
from the palm of your hand.

For account settings, visit Fishbowl on Desktop Browser or

General

Legal