Request to opt out of a program bank, change FDIC core position, or general inquiry.

Note
End-customer must have at least one program bank and one excess bank to participate in the program.

Request to order additional checks on an account.

Note
Checks will be ordered in the same checkbook style and will be sent via regular mail.

Request to close an account, or close an account and remove a G Number.

Note
The account balance must be zero to process. For a nonretirement account, a balance of less than $10 may be written off.

Request for information regarding debit and credit cards replacement and travel information.

Note
To unblock a card, the customer must contact the card issuer at the phone number listed on the back of the card. For debit cards, contact (800) 323-5353 and for credit cards, contact (877) 811-7088.

Request to change security distribution reinvestment options at the account or position level.

Note
Account-level changes do not affect existing holdings.

Request to update a Primary or Secondary G Number address or update Secondary G Number Authorized Agent information using your Firm Master Account Number.

Note
Only one G Number change allowed per Service Request. Changes made though this request will impact all accounts associated under this G Number. You cannot apply Authorized Agent changes to a primary G Number.

Request to replace a primary G Number, remove all G Numbers, add or delete a secondary G Number/SMA G Number and/or pricing code on an account. When removing a separate account manager (SAM), you must provide the SAM written notice of the removal at least four business days prior to the actual removal.

Note
When entering G Number details, use an uppercase G followed by eight digits.

Request to consolidate multiple accounts on one statement.

Note
If account owners are different, end-customer signatures are required. In these situations, attach the Account Household form to the request.

Request to submit Omnibus Account Certification for Money Market Funds. The Omnibus Account Certification for Money Market Funds Form is required.

Note
Submit only one Service Request per account to be certified.

Request to add, change, or delete a periodic investment plan. In order to change or add banking instructions, a client signature is required. The Automatic Account Builder for Non-Retirement Accounts Form is required.

Note
AMA or a client signature is required to add or change a plan.

Request to add or change account mailings for interested parties, quarterly confirmations, and redirection of certain materials.

Note
For redirection and interest party requests, attach the appropriate form with required end-customer signature. Changes in frequency of confirmations from Immediate to Quarterly require a completed Quarterly Confirmation Request Form or Letter of Instruction (LOI).

Request to add or update an addendum for a client's account who holds alternative investments. If this is an update request, please select update on the submission.

Note
All trade related processing requests that accompany the addendum must be submitted through established channels.

Request for status updates on previously processed re-registration or account maintenance requests.

Note
The resolution of this request depends on the responsiveness of the issuer.

Request for status updates on previously processed trade requests.

Note
The resolution of this request depends on the responsiveness of the issuer.

Effective November 1, 2021, clients are required to submit all eligible Alternative Investment trade transactions through Wealthscape Order Entry.

Note
Submit trades through Service Center that require margin (approval must be included with paperwork), physical certificates, and use of internal accounts to pull money.

Request to adjust client equity distribution to receive reinvestment shares or cash that was different from actual allocation due to incorrect coding on the account or the position level. Provide the relevant error account for any related Profit & Loss cost. Only one CUSIP/Account combination allowed.

Note
For open end mutual fund dividend corrections, use the Mutual Fund Correction process.

Request for information regarding a corporate action or reorganization that is not on Wealthscape Corporate Actions.

Note
If clarification of an offer is needed, call your Service Team.

Request to enter details of the existing 45-day delay Freddie Mac position. Freddie Mac has a self-imposed limit on the number of exchanges they will accommodate daily which might impact timing. The new 55-day delay security will be deposited into the customer's account along with a wire representing the float compensation due to the longer principle and interest day (45 to 55 days).

Note
FHLMC imposed black-out dates: No exchange requests can be processed on the last business day and the first four business days of the month.

Request to transact non-taxable share class conversions between like mutual funds but different share classes.

Note
A completed Mutual Fund Share Class Conversions Request Form (spreadsheet) is required. One fund family per form. Expected resolution may vary based upon the type of request and fund family volumes.

Request for information regarding a Mutual Fund dividend/capital gain payment, including cancel and rebill adjustments that affect dividends, validation of payouts, rate(s) that were used, and when the dividend will pay out.

Note
This request cannot be used for adjustments from reinvest to cash or cash to reinvest. For those types of requests, refer to your error processing procedures.

Request for information regarding certificate deposits, transfers, research and adjustments, or a request to journal physical certificates between accounts.

Note
Expected resolution may vary if research is requested.

Request to setup a new CUSIP in the securities database. Do not attach documents for municipal, corporate, government, or CD setup requests.

Open-end mutual fund requests are supported by the Mutual Funds area. Expected resolution time:

• Municipals: 10 minutes
• Open-end mutual funds: 3 days if no approval is required, approvals may take longer
• All others: Same day

Request to setup a CUSIP for a physical certificate. Attach a copy of the certificate to this Service Request and reference Tracking # on each page.

Note
Foreign securities may take 5-10 days for resolution.

Request for an audit letter and/or statement copies not available online. Attach a Certification of Assets request letter.

Note
Statements are not certified by Fidelity.

Inquiry regarding an outgoing transfer of assets from Fidelity to another firm. Expected resolution may vary based on response from contra firm.

Note
Not for use by RIA clients.

Request to resolve an outgoing transfer reject sending assets from Fidelity to another firm.

Note
Not for use by RIA clients.

Request to submit and attach a TOA Delivery Form. Requests submitted without a completed form will be not in good order (NIGO).

Note
Not for use by RIA clients.

Request for an incoming transfer of assets from another firm to Fidelity. Expected resolution may vary based on response from contra firm.

Note
Not for use by RIA clients.

Request to resolve a transfer reject sending assets from another firm to Fidelity.

Note
Not for use by RIA clients.

Inquiry or request sent to a trust officer for accounts where Fidelity Personal Trust Company, FSB currently serves as trustee or agent for the trustee.

Note
Processing times may vary depending on the nature of the request.

Request to create or update a net income plan noted on the trust accounting system.

Note
This is not to be used to update Type 9 or PWS plans.

Request to modify a transaction that displays in the principal and income section of the statement and online.

Note
Correction will only be reflected on the statement if requested within the same month of the transaction.

General Inquiry for Fidelity.com Performance Reporting.

Note
Do not use for enablement requests. To activate or deactivate the performance reporting feature, have your firm administrator go to Service > Firm Preferences > Fidelity.com, and make elections as to which accounts to "opt in" for the Performance Reporting feature.

Request for Wealthscape Performance Measurement subscribers to submit questions related to performance calculations. Expected resolution may vary based on the complexities of the request.

Note
If you do not have a subscription to Wealthscape Performance Measurement and would like to learn more about this tool, contact your Relationship Manager.

Request to provide information and supporting documentation regarding fee activity in an account referenced in a Fee Clarification Service Message. Include the Service Message work item number and alert ID to ensure proper accounting of your compliance. If billing on outside assets, provide an Authorization to Deduct Management Fees for Non-Fidelity Accounts Form when applicable.

Note
Should it be determined that adjustments are required to the fees that were charged to the account, fee changes should be conducted through your Service Team directly. Expected resolution may vary due to the completeness of the information provided.

Request to add, delete, or change ONLY the following restrictions on an account: Electronic Web Block, Liquidating Trades Only, or Margin Approval Denied. Enter a justification in the Additional Details field.

For all other restriction codes, contact your Service Team.

Request for re-evaluation of certain low price security deposits.

Note
If this notification requires immediate attention, contact Risk Management by phone.

Request to stop payment, and redeposit or reissue a check to the same instructions.

Note
Does not apply to redeposit for Retirement Account Required Minimum Distribution (RMD) or Beneficiary Designation Account (BDA) IRA.

Request for a trace or a recall of an EFT disbursement only.

Note
Recall requests are initiated same day, but are dependent upon the receiving bank for return of funds.

Request to dispute a wire fee and/or funds availability for an international bank wire disbursement. Expected resolution may vary.

Note
This applies to international wires subject to Part B of the Electronic Funds Transfer Act only.

Request for information regarding international clearance and custody, including ID Markets account requests.

Note
For Service Requests related to non-ACAT position (non-cash) transfers (Free Receives/Free Delivery), use International Operations > Free Transfer.

Request a margin extension.

Note
Extension requests received after 3:00 PM ET will be reviewed and serviced on a best efforts basis.

Request for status of receipt of Form 1 to Schedule A (F1SA) returned from contra broker finalizing prime broker relationship.

Note
This request should be used only after a Schedule A has been submitted.

Request to create and send Schedule A to contra broker in order to establish prime brokerage relationship.

Note
All investment advisors must be federally or state Registered Investment Advisors (RIAs), maintain the registration with either the state or SEC, and have a current Form ADV on file with the appropriate regulatory body.

Request to process corrections to retirement contributions and distributions.

Note
Includes Roth conversions and re-characterizations.

Request for information regarding retirement monetary transactions.

Note
No transaction processing should be requested through this Service Request.

Request for information regarding the transfer of assets or status of a transfer. Expected resolution may vary based on response from contra firm.

Note
No transaction processing should be requested through this Service Request.

Request to stop ACAT or non-ACAT transfer out of Fidelity. Requests submitted without a signed and dated rescind letter from the end-customer will be rejected.

• ACAT deliveries must be rescinded prior to 4:00 PM ET on the day the transfer is loaded into the ACAT system.
• Non-ACAT transfers will be stopped on a best efforts basis if the transfer has been initiated.

Note
Restrictions will be lifted as part of this request.

Request to add or remove G1/G2 restrictions on transfer of assets out of Fidelity.

Note
If present, a Q1 Restriction must be removed from the account prior to requesting a G1 or G2 Restriction removal.

Request to cancel or close a request to transfer assets to Fidelity.

• Cancel
  Unprocessed request/no assets received/uninitiated request-no further action required.
• Close
  Transfer is completed and file is currently open.

Request to status a residual sweep of assets to be transferred to Fidelity. Expected resolution may vary based on response from contra firm.

Note
Do not submit until 10 days after initial request has been completed to allow for contra to auto sweep cash. If original request was made more than 30 days ago, attach a copy of the most recent statement showing requested residual assets.

Request to generate an account valuation due to the death of an owner. This request will not result in an adjustment to cost basis information, unless a death certificate is provided or a step up is requested.

Note
For scenarios where the decedent is not the account owner, attach any applicable documentation to the request or provide rationale in the Additional Details section. If needed, list out any additional accounts in the Additional Details section.

Request to target specific shares for multiple dispositions or against multiple lots when details were received before settlement but not entered during transaction processing. This request requires a Versus Purchase Instructions spreadsheet.

Note
The total quantity of the tax lots must match the disposition quantity. Use the trade date, not the settlement date. Requests should be submitted prior to settlement of the disposition. Requests submitted after settlement must confirm that instructions were received before settlement in the request description. If the request includes gifts of the same quantity to multiple recipients, clarify which rows align with each recipient within the request description.

Request to target specific shares on a single disposition, up to 5 lots, when details were received before settlement but not entered during the original transaction.

Note
The tax lot quantity(s) must add up to the disposition quantity. Use the trade date and not the settlement date. Requests should be submitted prior to settlement of the disposition. Requests submitted after settlement must include validation that instructions were received before settlement.

Request for assistance to enter a trade.

Note
Requests should be submitted 90 minutes prior to the fund closing time. All mutual fund trades must be entered by 4:00 PM ET. Contact your Service Team for inquiries that are close to the trading deadline.

Request for information regarding policies and procedures for non-mutual fund trading.

Note
Trade orders and/or corrections cannot be made via Service Request.

Request to update Large Trader ID per SEC Rule 13h-1.

Note
If update is required for more than one G Number, a spreadsheet listing the G Numbers, Large Trader IDs, and Firm Name is required. Submit request using master account. If submitting for more than 50 accounts, resolution time could be longer.

Request to submit corporate action manual instructions on an exception basis. This exception process should only be utilized in the event that you are unable to submit the instructions through the corporate actions tool. Please contact a member of the Wealthscape support team for assistance before submitting this request.

Note
Mark request as "escalation required" and include account numbers, share amounts, and elections. Requests received after 1:00 PM ET and/or containing more than 50 accounts will be processed on a best efforts basis.

Request for information on Prime Brokerage and DVP Trade Away related items.

Note
Trades, allocations, and Schedule A requests will not be accepted via this Service Request.