Monday, 28-September-2009
1) Boss was in a really good mood today.
2) Back to square one on the reports she wants. We started with doing Morningstar Snapshots, stopped, and now we're back at them.
Friday, 25-September-2009
1) Boss needs to know what a business plan is. JG and I have to redo the business plan pertaining to us.
Tuesday, September 29, 2009
Thursday, September 24, 2009
Thursday, 24-September-2009
1) Boss has a telephone conference at 11am today. It's 11:07 and fellow colleague BR already told her she had an appointment today (like 2-3 times.) BR has also for the last 9 months I've been here reminding her of her telephone conferences. Minutes ago, Boss told us BR should not be reminding her of telephone conferences and that either HK or I should be. Comment: Boss was already reminded twice of todays meeting, how many more times does she need to be reminded? In her way to blame someone, she transitioned the job to HK or I to remind her. What's the next step, put a pencil or pen in her hands before she's about to write?
1) Boss has a telephone conference at 11am today. It's 11:07 and fellow colleague BR already told her she had an appointment today (like 2-3 times.) BR has also for the last 9 months I've been here reminding her of her telephone conferences. Minutes ago, Boss told us BR should not be reminding her of telephone conferences and that either HK or I should be. Comment: Boss was already reminded twice of todays meeting, how many more times does she need to be reminded? In her way to blame someone, she transitioned the job to HK or I to remind her. What's the next step, put a pencil or pen in her hands before she's about to write?
Wednesday, September 23, 2009
Wednesday, 23-September-2009
1) Employee JG had to assist client CB on his alarm systems. CB has been complaining that his house has been broken in on unforced entry. Comment: We define the 'Full-Service' Advisory Firm. This is very ridiculous that we are getting involved in non-financial issues.
She was in a good mood.
Tuesday, 22-September-2009
Nothing to report today.
1) Employee JG had to assist client CB on his alarm systems. CB has been complaining that his house has been broken in on unforced entry. Comment: We define the 'Full-Service' Advisory Firm. This is very ridiculous that we are getting involved in non-financial issues.
She was in a good mood.
Tuesday, 22-September-2009
Nothing to report today.
Monday, September 21, 2009
Thursday, September 17, 2009
Thursday, 17-September-2009
1) I just got lectured that we need to be more efficient at work. Yesterday, Boss came in and asked me for 2 CUSIPs. Well, apparently, she wanted the Ticker Symbol for the 2 funds. She than gave me this look and asked what's a CUSIP. Comment: How can she ask me what a CUSIP is? That's what she asked me to pull off!
2) We have some really outdated phones at work. One of the phone features we commonly use is the Speaker Function. Well, since our phones are old they do not work the way she wants them to. The phones we currently have an outgoing speaker only. So in order for us to respond, we have to pick up the phone receiver and talk back. Unfortunately, she doesn't understand that. She thinks it works perfectly fine and that we do not have to pick up the speaker function.
3) Fellow employee BR just asked me if Boss had told me to do the CE Firm Element. I responded, Yes. BR told me that Boss had said I did that behind her back. My boss did not want to pay the $50 fee for the continuing education. A couple months ago, she told me NOT to do the CE, because when I passed the Series 66 it was before the annoucement from Corporate that the CE Firm Element was due by September 15(for written) or September 30(for online.) Believe me, I did not want to spend 5 hours of my time doing this continuing education. So 1 month ago, Compliance sends BR a list of RR's that need to take it. I was on the updated list and Boss came in and told me to hurry up and finish it. Well, apparently she forgot, because now she thinks she told me not to do it and I did it behind her back. Comment: Alzheimers. Enough said.
1) I just got lectured that we need to be more efficient at work. Yesterday, Boss came in and asked me for 2 CUSIPs. Well, apparently, she wanted the Ticker Symbol for the 2 funds. She than gave me this look and asked what's a CUSIP. Comment: How can she ask me what a CUSIP is? That's what she asked me to pull off!
2) We have some really outdated phones at work. One of the phone features we commonly use is the Speaker Function. Well, since our phones are old they do not work the way she wants them to. The phones we currently have an outgoing speaker only. So in order for us to respond, we have to pick up the phone receiver and talk back. Unfortunately, she doesn't understand that. She thinks it works perfectly fine and that we do not have to pick up the speaker function.
3) Fellow employee BR just asked me if Boss had told me to do the CE Firm Element. I responded, Yes. BR told me that Boss had said I did that behind her back. My boss did not want to pay the $50 fee for the continuing education. A couple months ago, she told me NOT to do the CE, because when I passed the Series 66 it was before the annoucement from Corporate that the CE Firm Element was due by September 15(for written) or September 30(for online.) Believe me, I did not want to spend 5 hours of my time doing this continuing education. So 1 month ago, Compliance sends BR a list of RR's that need to take it. I was on the updated list and Boss came in and told me to hurry up and finish it. Well, apparently she forgot, because now she thinks she told me not to do it and I did it behind her back. Comment: Alzheimers. Enough said.
Wednesday, September 16, 2009
Wednesday, 16-September-2009
1) So I drove client JP to and from work today, so she would not have to take a cab. Her vision is not very good, so she usually takes a taxi. Boss volunteered me last time, I was volunteered to drive her today; however, I volunteered myself to pick her up. As we were leaving today, Boss said, "Is your chauffeur ready?" Client JP looked at Boss and said, "you mean friend?" Boss said,"No, chauffeur." Client JP just looked at Boss with that 'be nice' look. Comment: I think what's kind of messed up is that I was volunteered to drive client JP home. I actually did not even have a choice.
2) Client JP came in today to sign up for i4life. Boss came in and asked me to get the paperwork. Although, I have some working knowledge where to get it (ie. website, etc.) I had to look for it. Boss got really impatient, because I did not have it for her readily available. Comment: Boss had said a long time ago, she did not want me to do the paperwork! That was all suppose to be for HK.
1) So I drove client JP to and from work today, so she would not have to take a cab. Her vision is not very good, so she usually takes a taxi. Boss volunteered me last time, I was volunteered to drive her today; however, I volunteered myself to pick her up. As we were leaving today, Boss said, "Is your chauffeur ready?" Client JP looked at Boss and said, "you mean friend?" Boss said,"No, chauffeur." Client JP just looked at Boss with that 'be nice' look. Comment: I think what's kind of messed up is that I was volunteered to drive client JP home. I actually did not even have a choice.
2) Client JP came in today to sign up for i4life. Boss came in and asked me to get the paperwork. Although, I have some working knowledge where to get it (ie. website, etc.) I had to look for it. Boss got really impatient, because I did not have it for her readily available. Comment: Boss had said a long time ago, she did not want me to do the paperwork! That was all suppose to be for HK.
Tuesday, September 15, 2009
Tuesday, 15-September-2009
1) So client CB keeps coming back, because he thinks that someone is breaking into his house with unforced entry and stealing his American Funds statements. So Boss suggested that he open up a Post Office Box and that's exactly what he did. Unfortunately, today, she asked me to have him sign half a dozen AIF's and Change of Address Forms. I did not know what these Change of Address Forms were, because my partner usually takes care of them and even if there were a change we telephone the call in.
1) So client CB keeps coming back, because he thinks that someone is breaking into his house with unforced entry and stealing his American Funds statements. So Boss suggested that he open up a Post Office Box and that's exactly what he did. Unfortunately, today, she asked me to have him sign half a dozen AIF's and Change of Address Forms. I did not know what these Change of Address Forms were, because my partner usually takes care of them and even if there were a change we telephone the call in.
Monday, September 14, 2009
Monday, 14-September-2009
Today was our quarterly meeting. I didn't think I was going to document anything, but I am.
1) Before we listened to the wholesalers, Boss had some topics to discuss. So as she was leaving the podium to get one of the wholesalers, I raised my hand. She said, "Yes?" I asked her should we go over the Compliance and Operation Issues to discuss. She gave me a very mean/frustrated look and said, "We will do that later." RR TG just patted me on the shoulder and said I guess we could have done that now. I think she thought the same thing that there was no reason for Boss to give me a snappy response.
2) Boss when talking to the RR's today was suggesting that they should have a buy/sell agreement as a contingency plan in place if something were to happen to them. Boss suggested 6+ times that she could be the beneficiary of the agreement. Even RR BR asked Boss if it was okay if RR DR could be on each other's buy/sell agreement, but Boss said it wouldn't make sense to have a Seattle RR assist clients in Marysville and vice versa. Comment: What's funny about this is she's suggesting herself, but Tacoma is farther than Marysville and Seattle put together!
Friday, 11-September-2009
Nothing to report today.
Today was our quarterly meeting. I didn't think I was going to document anything, but I am.
1) Before we listened to the wholesalers, Boss had some topics to discuss. So as she was leaving the podium to get one of the wholesalers, I raised my hand. She said, "Yes?" I asked her should we go over the Compliance and Operation Issues to discuss. She gave me a very mean/frustrated look and said, "We will do that later." RR TG just patted me on the shoulder and said I guess we could have done that now. I think she thought the same thing that there was no reason for Boss to give me a snappy response.
2) Boss when talking to the RR's today was suggesting that they should have a buy/sell agreement as a contingency plan in place if something were to happen to them. Boss suggested 6+ times that she could be the beneficiary of the agreement. Even RR BR asked Boss if it was okay if RR DR could be on each other's buy/sell agreement, but Boss said it wouldn't make sense to have a Seattle RR assist clients in Marysville and vice versa. Comment: What's funny about this is she's suggesting herself, but Tacoma is farther than Marysville and Seattle put together!
Friday, 11-September-2009
Nothing to report today.
Thursday, September 10, 2009
Thursday, 10-September-2009
1) Either they are my Boss' Brother-In-Law or Sister-In-Law client, but they transferred their money to the Royal Bank of Canada. Boss blamed HK she was the reason why they left (ie. bad service, did not follow up, etc.) Comment: One really has to do a very bad job to have a family member transfer their account with no communication.
2) Boss changes how the summary statement should look. She does not want footnotes reflecting RMD's. Apparently the client meeting she had Wednesday, the client had made the suggestion to hold the RMD's in 2009 (ie. due to Congress bill) and the client had already taken the distribution. Comment: It will most likely change again as each summary should be modified on a case by case basis. This is why it makes the statement very difficult to produce, because it's inconsistent.
3) We are cleaning up Unassigned Accounts in the Books & Records section of ING SmartWorks. Since we are missing AIF (Account Information Forms), Boss wants us to send out an AIF for the client to sign with missing fields and include a separate letter stating what fields need updating. I tried to tell Boss that this is very confusing, because the client may fill out the AIF application and not know that they are suppose to write and return the letter. Comment: I'm really surprised Boss wants the client to sign a form with missing fields and the intent is that when they return the AIF, we doctor the form after they sign it.
Wednesday, 9-September-2009
I noticed Boss is no longer driving to work any more. It's been 2 straight weeks that I have not see her car outside.
Tuesday, 8-September-2009
Asked for a raise since I passed the Series 7 & 66 and she said I would receive it in the beginning of next quarter.
Monday, 7-September-2009
Labor Day is today. I have the day off.
1) Either they are my Boss' Brother-In-Law or Sister-In-Law client, but they transferred their money to the Royal Bank of Canada. Boss blamed HK she was the reason why they left (ie. bad service, did not follow up, etc.) Comment: One really has to do a very bad job to have a family member transfer their account with no communication.
2) Boss changes how the summary statement should look. She does not want footnotes reflecting RMD's. Apparently the client meeting she had Wednesday, the client had made the suggestion to hold the RMD's in 2009 (ie. due to Congress bill) and the client had already taken the distribution. Comment: It will most likely change again as each summary should be modified on a case by case basis. This is why it makes the statement very difficult to produce, because it's inconsistent.
3) We are cleaning up Unassigned Accounts in the Books & Records section of ING SmartWorks. Since we are missing AIF (Account Information Forms), Boss wants us to send out an AIF for the client to sign with missing fields and include a separate letter stating what fields need updating. I tried to tell Boss that this is very confusing, because the client may fill out the AIF application and not know that they are suppose to write and return the letter. Comment: I'm really surprised Boss wants the client to sign a form with missing fields and the intent is that when they return the AIF, we doctor the form after they sign it.
Wednesday, 9-September-2009
I noticed Boss is no longer driving to work any more. It's been 2 straight weeks that I have not see her car outside.
Tuesday, 8-September-2009
Asked for a raise since I passed the Series 7 & 66 and she said I would receive it in the beginning of next quarter.
Monday, 7-September-2009
Labor Day is today. I have the day off.
Friday, September 04, 2009
Thursday, September 03, 2009
Thursday, 3-September-2009
1) Boss worked a 1/2 day, since she was leaving for Ocean Shores. She was really upset today with me regarding the Novot clients. I asked her yesterday if I needed to reproduce another Summary, since they were in last week and received one. Apparently, she wanted to me to reprint the same exact summary that was given to them last week.
1) Boss worked a 1/2 day, since she was leaving for Ocean Shores. She was really upset today with me regarding the Novot clients. I asked her yesterday if I needed to reproduce another Summary, since they were in last week and received one. Apparently, she wanted to me to reprint the same exact summary that was given to them last week.
Wednesday, September 02, 2009
Wednesday, 2-September-09
Nothing to report.
Tuesday, 1-September-09
1) I got chewed out today by the Boss. There has been this function that I've been doing in the Smartworks program called 'Unassigned Accounts'. This was work that I brought onto myself, because logically it looked like it needed to be done. Last Friday, fellow employee Deb forwarded an email response to Boss. This email was a confirmation on a request I asked the Data Services Team to purge a record/client that was not my Boss'. Usually, employee BR gives it to me, and I discard the confirmation. This time, I had to explain to Boss what this email confirmation was for. Almost immediately, she started freaking out. She asked why I was not on top of this and why I had not completed it.
Just to give you a little history, 3 months ago she told me not to assign 'unassigned accounts'. She did this, because the reason why she didn't 'assign' them, was because she wanted to assign the 'unassigned accounts' to another broker. I tried to defend myself and tell her this is exactly what she said 3 months ago, but she said she never said that (HK is my witness though.) Well, anyway, it's high priority now.
2) HK told me today that Boss denied something that she wrote, saying that she never wrote it. Comment: It was in pencil, on one of her yellow pads of paper, and the handwriting was clearly heres. Who else could it have been?
Nothing to report.
Tuesday, 1-September-09
1) I got chewed out today by the Boss. There has been this function that I've been doing in the Smartworks program called 'Unassigned Accounts'. This was work that I brought onto myself, because logically it looked like it needed to be done. Last Friday, fellow employee Deb forwarded an email response to Boss. This email was a confirmation on a request I asked the Data Services Team to purge a record/client that was not my Boss'. Usually, employee BR gives it to me, and I discard the confirmation. This time, I had to explain to Boss what this email confirmation was for. Almost immediately, she started freaking out. She asked why I was not on top of this and why I had not completed it.
Just to give you a little history, 3 months ago she told me not to assign 'unassigned accounts'. She did this, because the reason why she didn't 'assign' them, was because she wanted to assign the 'unassigned accounts' to another broker. I tried to defend myself and tell her this is exactly what she said 3 months ago, but she said she never said that (HK is my witness though.) Well, anyway, it's high priority now.
2) HK told me today that Boss denied something that she wrote, saying that she never wrote it. Comment: It was in pencil, on one of her yellow pads of paper, and the handwriting was clearly heres. Who else could it have been?
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