Thursday, 22-October-2009
1) Boss likes to sign, but does not like to enter dates. We have to take any form or paperwork she signs and insert the date for her.
2) Just got yelled at for not putting orders in before the close today. Boss is saying she told me to put 2 orders for client Langton before the close. First, she never told me. Second, I found it sitting on my desk after I got interrupted during my lunch. I was interrupted, because while I was eating at 12:48pm to process an order for client Shipman. It was then that I saw the client folder on my desk. Boss claims she told me to do it; however, based on the timing sequence it was impossible for her to tell me.
Thursday, October 22, 2009
Wednesday, October 21, 2009
Wednesday, 21-October-2009
1) Boss asked me to print history of American Funds Money Market Fund. I noticed we didn't have any literature, so I had to call them up. They did not have anything since the Fund is new as of 10-July-2009. So I told her, and she told me that she needed the totals for the client. I was a little upset, because she didn't give clear directions. Had she said she needed the client's history of the American Fund, it would have been a lot more clearer. So I printed the totals from DST Vision, walked into her office where she was with Walt N. She handed the papers back to me and said I need the transaction history, and this is the 3rd time I am asking for you. Now I was pissed off, because she was not very clear on what she was requesting from the beginning. She then talked down to me in front of the client.
2) She comes storming in during one of her client meetings asking me for Enhanded Death Benefit Values. I did not prepare the AAA Summary, so I was unaware of it. It took me 45 minutes to check online and call 4 different sponsoring families to get the numbers she wanted. I put them on a Word Document and handed to her. She looked at it and said that it was not in 'Schedule Form', so we'll have to mail them to the client. I'm a little surprised my efforts were wasted and the client did not receive what they wanted.
Tuesday, 20-October-2009
Boss returning from Reno tonight.
1) Boss asked me to print history of American Funds Money Market Fund. I noticed we didn't have any literature, so I had to call them up. They did not have anything since the Fund is new as of 10-July-2009. So I told her, and she told me that she needed the totals for the client. I was a little upset, because she didn't give clear directions. Had she said she needed the client's history of the American Fund, it would have been a lot more clearer. So I printed the totals from DST Vision, walked into her office where she was with Walt N. She handed the papers back to me and said I need the transaction history, and this is the 3rd time I am asking for you. Now I was pissed off, because she was not very clear on what she was requesting from the beginning. She then talked down to me in front of the client.
2) She comes storming in during one of her client meetings asking me for Enhanded Death Benefit Values. I did not prepare the AAA Summary, so I was unaware of it. It took me 45 minutes to check online and call 4 different sponsoring families to get the numbers she wanted. I put them on a Word Document and handed to her. She looked at it and said that it was not in 'Schedule Form', so we'll have to mail them to the client. I'm a little surprised my efforts were wasted and the client did not receive what they wanted.
Tuesday, 20-October-2009
Boss returning from Reno tonight.
Monday, October 19, 2009
Monday, 19-October-2009
1) Boss is in Reno today and tomorrow. Nothing to report.
Friday, 16-October-2009
1) Boss is advising a client (ie. panga) to liquidate an UTMA account and have that transferred back to the client. HK called Franklin to let them know this. The representative that answered the phone had to forward it to a manager, because they didnt know how to process the request. When the Franklin Manager got on, they told HK, they in their past 7 years has never heard of a request and that there could be litigation since this would set off a lot of red flags.
Thursday, 15-October-2009
1) Doing summaries, so boss out of my hair again.
Wednesday, 14-October-2009
1) Boss out of office. Was able to get a ton of summaries done.
Tuesday, 13-October-2009
1) Summaries!
1) Boss is in Reno today and tomorrow. Nothing to report.
Friday, 16-October-2009
1) Boss is advising a client (ie. panga) to liquidate an UTMA account and have that transferred back to the client. HK called Franklin to let them know this. The representative that answered the phone had to forward it to a manager, because they didnt know how to process the request. When the Franklin Manager got on, they told HK, they in their past 7 years has never heard of a request and that there could be litigation since this would set off a lot of red flags.
Thursday, 15-October-2009
1) Doing summaries, so boss out of my hair again.
Wednesday, 14-October-2009
1) Boss out of office. Was able to get a ton of summaries done.
Tuesday, 13-October-2009
1) Summaries!
Monday, October 12, 2009
Monday, 12-October-2009
1) This weekend Boss invited JG and his wife to the Knights of Columbus Charity Auction. JG asks Boss if she's bidding on anything. Boss asks JG and he says that he's looking at the Mexico vacation package (one of the higher priced ones tagged with a retail value of $2,400.) Boss says she would never bid on that, because she has a friend there on the beach that she could stay with. So when it comes time to auction, JG bids first at 700 and Boss bids to 800. JG bids 900 and she bids 950, where JG bids $1,000 to win it. Comment: They were the only 2 bidders and I think it's just absolutely messed up that she bid on the auction when she knew JG wanted it. They were sitting at the same exact dinner table.
2) Today was BR's belated birthday lunch. We bought Rounders Pizza. Since we usually order the Mambo Jambo Pizza (ie. meat lovers pizza, etc) I thought it would be a great change to have a vegetarian pizza. When the pizza arrived and Boss was handing out the slices on the plates. Because she had no idea what slices she was handing out, I had to mention that 1/2 of the pizza was vegetarian. She snapped back and asked why in the world I would do that. I told her that a few of us wanted vegetarian, so she quietly backed off. She did complain that there was no cheese on the slices that she ate. Comment: there was cheese, she couldn't see it.
1) This weekend Boss invited JG and his wife to the Knights of Columbus Charity Auction. JG asks Boss if she's bidding on anything. Boss asks JG and he says that he's looking at the Mexico vacation package (one of the higher priced ones tagged with a retail value of $2,400.) Boss says she would never bid on that, because she has a friend there on the beach that she could stay with. So when it comes time to auction, JG bids first at 700 and Boss bids to 800. JG bids 900 and she bids 950, where JG bids $1,000 to win it. Comment: They were the only 2 bidders and I think it's just absolutely messed up that she bid on the auction when she knew JG wanted it. They were sitting at the same exact dinner table.
2) Today was BR's belated birthday lunch. We bought Rounders Pizza. Since we usually order the Mambo Jambo Pizza (ie. meat lovers pizza, etc) I thought it would be a great change to have a vegetarian pizza. When the pizza arrived and Boss was handing out the slices on the plates. Because she had no idea what slices she was handing out, I had to mention that 1/2 of the pizza was vegetarian. She snapped back and asked why in the world I would do that. I told her that a few of us wanted vegetarian, so she quietly backed off. She did complain that there was no cheese on the slices that she ate. Comment: there was cheese, she couldn't see it.
Saturday, October 10, 2009
Friday, 10-October-2009
Boss said told HK today that staff is only allowed to take vacation during June, July, and August. This only came up, because HK reminded Boss that she was going to be on vacation in two weeks. Boss didn't recall this, even though it was 1) written in her appointment book months ago 2) it was written on this big calendar hanging on one of our walls in the office I share with HK 3) written on her notepad of daily activities to review 4) HK would not have booked this without prior confirmation from Boss.
Boss denied Estate paperwork for Tom and Walt N.
Thursday, 9-October-2009
1) Boss did not know what "Two Share" for estates meant.
2) Boss tried to do a 1035 exchange on $5,000. Comment: American Legacy flagged it saying that it needs to be at least $25,000.
Wednesday, 8-October-2009
Boss in Boise with JG for an audit.
Tuesday, 7-October-2009
1) As we pile up the summaries/folders to be sent out. Boss asked me to separate which ones where the AAA, AA, and Single A's. Comment: I find this ridiculous that I have to literally hand her everything. Each of the folders are color coded to determine which class they are suppose to be. She can't see!
Monday, 6-October-2009
Boss out most of the day in meetings. Nothing to report.
Friday, 3-October-2009
Boss running errands and was not at work most of the day. Nothing to report.
Boss said told HK today that staff is only allowed to take vacation during June, July, and August. This only came up, because HK reminded Boss that she was going to be on vacation in two weeks. Boss didn't recall this, even though it was 1) written in her appointment book months ago 2) it was written on this big calendar hanging on one of our walls in the office I share with HK 3) written on her notepad of daily activities to review 4) HK would not have booked this without prior confirmation from Boss.
Boss denied Estate paperwork for Tom and Walt N.
Thursday, 9-October-2009
1) Boss did not know what "Two Share" for estates meant.
2) Boss tried to do a 1035 exchange on $5,000. Comment: American Legacy flagged it saying that it needs to be at least $25,000.
Wednesday, 8-October-2009
Boss in Boise with JG for an audit.
Tuesday, 7-October-2009
1) As we pile up the summaries/folders to be sent out. Boss asked me to separate which ones where the AAA, AA, and Single A's. Comment: I find this ridiculous that I have to literally hand her everything. Each of the folders are color coded to determine which class they are suppose to be. She can't see!
Monday, 6-October-2009
Boss out most of the day in meetings. Nothing to report.
Friday, 3-October-2009
Boss running errands and was not at work most of the day. Nothing to report.
Thursday, October 01, 2009
Thursday, 1-October-2009
1) Yesterday, Boss is planning a trip to Olympia, so she noticed a few clients that I recently added to the list. They were former RR BP's clients. One of the clients did not have a valid phone number based on the old AIF (Account Information Form.) RR BP's account also rolled over to Boss, so I had to complete an AIF for him. I took the initiative to call BP to get his information to complete his AIF and ask him if he had a valid phone number pertaining to the client. I was able to do finish both tasks and had a nice short conversation with BP. I went to Boss to give her the updated phone number to call the client and told her how I received it (ie. spoke to BP.) Immediately, she said shook her head and said I had no business talking to BP. That was her job and said she had to now call him to apologize to BP for having staff (ie. me) call them. Comment: If there is one thing that Boss doesn't admit to, it's giving credit where credit is due. It's nearly impossible to be proactive, because she will scold you or make some excuse for doing so. Here I thought I was doing the correct thing and she blasts me for getting information from the former RR. BP retired from FNIC over 4 months ago and gave me a hard time that I had no business contacting him. I've spoken to him before, so I'm not sure why this was an issue.
2) In continuation of what I wrote in the point above, Boss called the client (I overheard her side of the telephone dialogue.) Boss asked the client if they received our introductory letter back in June. (Client acknowledged that they received it.) Boss than proceeds to mention that she would love to speak to them the next time she's in Olympia. Boss mentions that we would send them a quarterly statement each quarter and asks where to send the summary/statement to. Boss writes down the address and hangs up the phone. Boss comes over to my desk and asks to send the statement to the address she wrote. Comment: I already had the address she wrote, because I had already called Jackson Life to see if there was an address change which was done in 11/07. The client had also confirmed that they had received the letter sent back in June.
3) Boss mentions that she hopes that the construction in front of our building finishes soon, so she can drive to work. She has admitted that she can't see the cones on the road blocking off the lane. Comment: Who will take any wagers that she will not pass her MVA/DMV Driver License renewal?
Wednesday, 30-September-2009
Today was a 401k meeting with WAH and this will probably be the most unbelievable number of flawed statements I'll ever here in a 2 hour window during my time at Financial Network. What you're about to read, is probably material that should be used for the TV Show 'The Office.' I wish I could say I was making this stuff up, but I didn't.
1) Yesterday, I had asked her if we should prepare the manila folders with handouts to be given out to each employee; however, she didn't want to. BR decided to take the initiative and put the folders together. As I'm setting up the tables, she wants to put together the hand outs. I told her they are already done and she told me that I should not have done that (eg actually BR did it.) She opens the folder and starts freaking out, because she said the tear sheets and prospectus that I put in there should not be in there (eg. she actually told me to order them for this 401k meeting specifically.) So as she's freaking out, Boss is literally taking each folder and throwing papers on the breakfast table where we have the donuts laying. I quickly grabbed the thrown papers and help prepare the folders with the enclosures that she wants. Comment: Had she taken 2 seconds to see the materials the day before, this probably could have been prevented. What is really odd, she totally dismissed the American Funds New World and Templeton Global Bond Fact Sheets & Prospectus that she asked me to order.
(Everything below this is what I found to be flawed statements during her presentation)
2) Boss highlighted that she was really big about picking fund managers. A WAH employee asked her how she did that and Boss replied that she looks at several things: longevity, management style, education, and her last criteria was performance (eg she even had to highlight that performance was the very last criteria that she looked for.) The employee who was not satisfied with Boss' answer, than asked her how she prevented overlapping styles of fund managers. Boss than starts to highlight the fact that the American Funds family has some of the best fund managers out there. Comment: Twice the WAH employee asked questions and her response didn't even come remotely close of answering the question.
3) Boss highlighted 'Cash Flow' as one of her main topics. Unfortunately she didn't explain what 'Cash Flow' means. She assumed everyone knew what it is.
4) When it came to presenting the RS Investments Powerpoint Slideshow, she could not read the screen since the lights were out. She tried to cover it up by telling the audience that she just recently got a shot in her eyes and asked that JG read (all) the slides for her.
5) WAH employee asked Boss (pertaining to one of the slides), what caused the tech stocks to go up so much. Boss replied that everyone bought them causing them to go up so much.
6) Boss said dollar cost averaging is a great way to invest. Historically there are only 2 really down days in any given month. Comment: 2 employees just looked at each other after she said that in any given month, there is really only 2 down days.
7) Boss tried to explain that historical events that repeat themselves have less of an impact on the stock market, because they've occurred in some fashion before. Boss mentioned that if a terrorist event much like 9/11 occurred, that the markets would quickly recover. She tried to spell out other events in history such as Kennedy's Assassination and Nixon's resignation; Kennedy's Assassination = market took a major hit and Nixon's resignation = market recovered very quickly. These were terrible examples to bring up, because both of these examples didn't make any sense in reference to her main point.
8)
Tuesday, 29-September-2009
Nothing to report today.
1) Yesterday, Boss is planning a trip to Olympia, so she noticed a few clients that I recently added to the list. They were former RR BP's clients. One of the clients did not have a valid phone number based on the old AIF (Account Information Form.) RR BP's account also rolled over to Boss, so I had to complete an AIF for him. I took the initiative to call BP to get his information to complete his AIF and ask him if he had a valid phone number pertaining to the client. I was able to do finish both tasks and had a nice short conversation with BP. I went to Boss to give her the updated phone number to call the client and told her how I received it (ie. spoke to BP.) Immediately, she said shook her head and said I had no business talking to BP. That was her job and said she had to now call him to apologize to BP for having staff (ie. me) call them. Comment: If there is one thing that Boss doesn't admit to, it's giving credit where credit is due. It's nearly impossible to be proactive, because she will scold you or make some excuse for doing so. Here I thought I was doing the correct thing and she blasts me for getting information from the former RR. BP retired from FNIC over 4 months ago and gave me a hard time that I had no business contacting him. I've spoken to him before, so I'm not sure why this was an issue.
2) In continuation of what I wrote in the point above, Boss called the client (I overheard her side of the telephone dialogue.) Boss asked the client if they received our introductory letter back in June. (Client acknowledged that they received it.) Boss than proceeds to mention that she would love to speak to them the next time she's in Olympia. Boss mentions that we would send them a quarterly statement each quarter and asks where to send the summary/statement to. Boss writes down the address and hangs up the phone. Boss comes over to my desk and asks to send the statement to the address she wrote. Comment: I already had the address she wrote, because I had already called Jackson Life to see if there was an address change which was done in 11/07. The client had also confirmed that they had received the letter sent back in June.
3) Boss mentions that she hopes that the construction in front of our building finishes soon, so she can drive to work. She has admitted that she can't see the cones on the road blocking off the lane. Comment: Who will take any wagers that she will not pass her MVA/DMV Driver License renewal?
Wednesday, 30-September-2009
Today was a 401k meeting with WAH and this will probably be the most unbelievable number of flawed statements I'll ever here in a 2 hour window during my time at Financial Network. What you're about to read, is probably material that should be used for the TV Show 'The Office.' I wish I could say I was making this stuff up, but I didn't.
1) Yesterday, I had asked her if we should prepare the manila folders with handouts to be given out to each employee; however, she didn't want to. BR decided to take the initiative and put the folders together. As I'm setting up the tables, she wants to put together the hand outs. I told her they are already done and she told me that I should not have done that (eg actually BR did it.) She opens the folder and starts freaking out, because she said the tear sheets and prospectus that I put in there should not be in there (eg. she actually told me to order them for this 401k meeting specifically.) So as she's freaking out, Boss is literally taking each folder and throwing papers on the breakfast table where we have the donuts laying. I quickly grabbed the thrown papers and help prepare the folders with the enclosures that she wants. Comment: Had she taken 2 seconds to see the materials the day before, this probably could have been prevented. What is really odd, she totally dismissed the American Funds New World and Templeton Global Bond Fact Sheets & Prospectus that she asked me to order.
(Everything below this is what I found to be flawed statements during her presentation)
2) Boss highlighted that she was really big about picking fund managers. A WAH employee asked her how she did that and Boss replied that she looks at several things: longevity, management style, education, and her last criteria was performance (eg she even had to highlight that performance was the very last criteria that she looked for.) The employee who was not satisfied with Boss' answer, than asked her how she prevented overlapping styles of fund managers. Boss than starts to highlight the fact that the American Funds family has some of the best fund managers out there. Comment: Twice the WAH employee asked questions and her response didn't even come remotely close of answering the question.
3) Boss highlighted 'Cash Flow' as one of her main topics. Unfortunately she didn't explain what 'Cash Flow' means. She assumed everyone knew what it is.
4) When it came to presenting the RS Investments Powerpoint Slideshow, she could not read the screen since the lights were out. She tried to cover it up by telling the audience that she just recently got a shot in her eyes and asked that JG read (all) the slides for her.
5) WAH employee asked Boss (pertaining to one of the slides), what caused the tech stocks to go up so much. Boss replied that everyone bought them causing them to go up so much.
6) Boss said dollar cost averaging is a great way to invest. Historically there are only 2 really down days in any given month. Comment: 2 employees just looked at each other after she said that in any given month, there is really only 2 down days.
7) Boss tried to explain that historical events that repeat themselves have less of an impact on the stock market, because they've occurred in some fashion before. Boss mentioned that if a terrorist event much like 9/11 occurred, that the markets would quickly recover. She tried to spell out other events in history such as Kennedy's Assassination and Nixon's resignation; Kennedy's Assassination = market took a major hit and Nixon's resignation = market recovered very quickly. These were terrible examples to bring up, because both of these examples didn't make any sense in reference to her main point.
8)
Tuesday, 29-September-2009
Nothing to report today.
Tuesday, September 29, 2009
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.
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.
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?
Monday, August 31, 2009
Thursday, August 27, 2009
Thursday, 27-August-2009
Fairly quiet day, because Boss was out first half of the day. HK called in sick this morning, so the minute I walk in Boss is asking for things for her appointment. She just assumed i knew what was needed demanding the paperwork. I quickly had to get the paperwork to switch the UGMA to an Individual Account. The client making the switch is actually in his mid-30s. Little late to be making the switch?
Fairly quiet day, because Boss was out first half of the day. HK called in sick this morning, so the minute I walk in Boss is asking for things for her appointment. She just assumed i knew what was needed demanding the paperwork. I quickly had to get the paperwork to switch the UGMA to an Individual Account. The client making the switch is actually in his mid-30s. Little late to be making the switch?
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