Service Requests are arranged by supercategory. Each supercategory is further broken down into categories; each category contains additional subcategories. It is important to select the correct category to ensure your request is routed to the applicable department for timely resolution.
Each Service Request is listed with its Expected Resolution Time (ERT), which represents the time within which you may expect Fidelity to resolve the issue.
- Account Management
- Asset Servicing
- Bank Trust Custody & Retirement Recordkeepers
- Personal Trust Services
- Product Support
- Risk Management
- Securities & Money Movement
- Tax & Cost Basis
- Trade Support
- User Access & Entitlements
If Entitled:
- Designated Brokerage Services (DBS)
Last updated April 2024.
Account Features & Maintenance | Account Records & Documentation
TopService Request | Description | ERT |
---|---|---|
Asset Movement Authorization | Request to grant asset movement authorization to an Authorized Agent(s)/Advisor(s) or to change an existing authorization. A completed Asset Movement Authorization form is required. | Same Day |
Bank Deposit Program Request | Request to opt out of a program bank, change FDIC core position, or general inquiry. Note
|
3 Days |
Beneficial Ownership Maintenance | Request to update or add beneficial owners on an account. A completed Beneficial Ownership Form for Entities dated within 45 days is required to avoid restrictions. | 1 Day |
Beneficiary Designation Change | Request to change the Beneficiary Designation on an account. A Letter of Instruction or a completed Beneficiary Designation Form is required. | Same Day |
Check Reorder | Request to order additional checks on an account. Note
|
Straight Through |
Check Writing & Debit Card Setup | Request to establish check writing and/or debit card feature. The Checkwriting and ATM Debit Card Request Form or IRA Checkwriting Application Form is required. | Same Day |
Close Account/Remove G Number | Request to close an account, or close an account and remove a G Number.
Note
|
Same Day |
Debit & Credit Card Inquiry | Request for information regarding debit and credit cards replacement and travel information. Note
|
2 Days |
Dividend & Capital Gains | Request to change security distribution reinvestment options at the account or position level. Note
|
Straight Through |
General Inquiry | Request for information regarding new accounts and maintenance requests. | Same Day |
G# Address & Authorized Agent Modifications | 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
|
3 Days |
G# Maintenance/Pricing Code | 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
|
Same Day |
Householding | Request to consolidate multiple accounts on one statement. Note
|
Same Day |
Margin Feature | Request to add the margin feature to a single account. A completed Margin Account Application is required. | Same Day |
Money Market Omnibus Account Certification | Request to submit Omnibus Account Certification for Money Market Funds. The Omnibus Account Certification for Money Market Funds Form is required. Note
|
Same Day |
Multiple Account Maintenance | Request to make a single type of update to multiple accounts using one of the Multi-Maintenance Service Request spreadsheets. A Multiple Maintenance Service Request spreadsheet is required. | 3 Days |
NIGO Resolution | Request to provide information to resolve an account setup or maintenance request that is not in good order (NIGO). Attach supporting documentation with your submittal. | Same Day |
Omnibus | Request to update the omnibus status on a single account. The Omnibus Account Certification Form is required. | Same Day |
Option Feature | Request to add the option feature to a single account. The Options Application is required. | Same Day |
Periodic Investment Plan Change | 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
|
Same Day |
Power of Attorney | Request to establish a Power of Attorney. Supporting documentation is required. See Wealthscape Policies & Procedures (OLR) for the required documentation to attach. | 5 Days |
Redirection & Interested Party | Request to add or change account mailings for interested parties, quarterly confirmations, and redirection of certain materials. Note
|
Same Day |
SMA G-Number Maintenance | Request to add/replace or remove the SMA Manager G-number on an account. When entering details, please use an uppercase G followed by 8 digits. | Same Day |
Standing Instructions | Request to establish bank wire, standing check instructions, EFT, and journal instructions. The Standing Instructions Form is required. | Same Day |
Trusted Contact | Request to update or add a trusted contact or designated representative (Texas) for an account owner. A completed Trusted Contact Authorization Form and/or Designated Representative-Texas form is required. | Same Day |
TTEE Changes | Request to change one or more trustees on a single account. The Trustee Certification of Investment Powers Form and supporting documentation is required. | Same Day |
W9 | Request to certify an account or to update the tax status. The Tax Payer ID Certification Substitute W9 Form is required. | Same Day |
Service Request | Description | ERT |
---|---|---|
Account Application Copy | Request for a copy of the original account application. | 3 Days |
Chat Transcript Copies | Request for a chat transcript. | 2 Days |
Duplicate Tax Forms | Request for a copy of an account holder's tax forms. | 3 Days |
Other Copies | Request for a copy of account documents. | 3 Days |
Statement Copy | Request for a copy of a statement not available online. | 2 Days |
Trade Confirmation Copy | Request for a trade confirm not available online. | 3 Days |
Alternative Investments | Control & Restricted Stock | Corporate Actions & Reorganizations | Mutual Fund | Pricing | Qualified Plan Fee Reporting | Security Processing | Security Setup & Maintenance
TopService Request | Description | ERT |
---|---|---|
Account Maintenance Processing | Request to process account maintenance requests for custodial accounts, such as a rep update or account number change. | 3 Days |
Addendum | 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
|
3 Days |
Asset Review | Request to begin an asset review. All review documents must be submitted concurrently to ensure the process can begin. | 15 Days |
Custodial Transfer Processing | Request to process a custodian to custodian transfer. | 3 Days |
Dividend General Inquiry | Distribution inquiries regarding research on a missing payment, status updates, distribution mnemonic inquiry, etc. | 3 Days |
Dividend Option Change Processing | Request to process an Alternative Investment Distribution election change form. | 3 Days |
General Inquiry | General Inquiry regarding Alternative Investments. Please note that all trade related processing requests that accompany the addendum, must be submitted through the established channels. | 3 Days |
Internal Re-Registration Processing | Request to process a re-registration request between two or more custodial accounts. | 3 Days |
Pending Re-Registration Status | Request for status updates on previously processed re-registration or account maintenance requests. Note
|
3 Days |
Pending Trade Status | Request for status updates on previously processed trade requests. Note
|
3 Days |
Reconciliation | Request to status the reconciliation of an asset, or request a review of a potential incorrect or invalid update. | 3 Days |
Trade Processing | Effective November 1, 2021, clients are required to submit all eligible Alternative Investment trade transactions through Wealthscape Order Entry. Note
|
2 Days |
Service Request | Description | ERT |
---|---|---|
General Inquiry | Request for information regarding policies and procedures for control and restricted stock. | Same Day |
Sale Execution Notification | Request to obtain legal opinion or submit shares to the transfer agent for legend removal. Additional information or paperwork may be required. Call your Service Team for questions on paperwork requirements. | Same Day |
Note
Expected resolution may vary, as there may be a dependency on an outside entity.
Service Request | Description | ERT |
---|---|---|
Dissent/Appraisal Rights Exercise Request | Request to exercise Dissent/Appraisal Rights. | 3 Days |
Dividend Reinvestment Correction | 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
|
1 Day |
Dividends and Bond Interest | Request for information regarding the entitlement or payment of a customer's equity dividend or fixed income interest or related distribution. | 1 Day |
General Inquiry | Request for information regarding a corporate action or reorganization that is not on Wealthscape Corporate Actions. Note
|
1 Day |
Proxy & Annual Reports | Request for information regarding proxies and annual reports, including receipt of proxy, annual reports or interim material, questions on voting, requests for control numbers and/or special handling. | 1 Day |
Survivor Options Status | Request to exercise a survivor option the same day the appropriate paperwork is sent via overnight mail. Also, a request for status on an existing instruction. | 2 Days |
UMBS Exchange | 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
|
Same Day |
Voluntary Reorg Instructions | Enter instructions that cannot be processed using Wealthscape Corporate Actions. This may include positions in type 5, changing the mode of payment on a UIT, and for UIT redemption requests if the CUSIP does not appear in Corporate Actions. If the offer is past the cut off date, call your Service Team to escalate on a best efforts basis. | 1 Day |
Service Request | Description | ERT |
---|---|---|
Class Conversions | Request to transact non-taxable share class conversions between like mutual funds but different share classes. Note
|
3 Days |
Corporate Action Inquiry | Request for information regarding a Mutual Fund Corporate Action that has already been processed, including what ratio was used, and/or the impact to the end-customer's share balance. | 1 Day |
Dividend/Cap Gain Inquiry | 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
|
1 Day |
Service Request | Description | ERT |
---|---|---|
Challenge | Request to challenge end of day pricing on a particular security. | 2 Days |
General Inquiry | Request for information regarding end of day pricing. | 5 Days |
Request | Request an end of day price for a specific security. | 5 Days |
Worthless Security Inquiry/Removal | Request to remove worthless securities can be processed in ICP. When selected, the Worthless Security Journal Transaction Type displays all eligible worthless securities in an account and enables associates to select eligible positions. This is available for both retirement and nonretirement accounts. Service Center instructions are no necessary when utilizing ICP to journal a worthless security. | 2 Days |
A spreadsheet with details to request reporting on multiple parameters is required. When completed, the requested report will be delivered as an attachment to the Service Item.
Service Request | Description | ERT |
---|---|---|
Qualified Plan Fee Disclosure Report | Request for FundsNetwork information to help satisfy the Department of Labor service provider fee disclosure requirements. When no customer account is available, use your firm's Master Account number to initiate your request. | 2 Days |
Schedule C Supplemental Report | Request for FundsNetwork information that may be required in the preparation of Form 5500 Schedule C. | 2 Days |
Service Request | Description | ERT |
---|---|---|
Certificate Deposit Inquiry | Request for information regarding certificate deposit policies or processes. Includes inquiries in type 4 Legal, research request on certificate deposits, and adjustments processed. | Same Day |
Corporate Action Submission | Request to submit restricted certificates, type 5, for mandatory corporate action processing. | Same Day |
General Inquiry | Request for information regarding a security processing and payment policy or procedure. | Same Day |
Lost Certificate | Request to report the loss of a physical certificate. | Same Day |
Physical Certificate Process | Request for information regarding certificate deposits, transfers, research and adjustments, or a request to journal physical certificates between accounts. Note
|
Same Day |
Service Request | Description | ERT |
---|---|---|
CUSIP Maintenance | Request to maintain or correct an existing CUSIP. | 2 Days |
CUSIP Setup | 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:
|
Same Day |
CUSIP Setup (for Certificates) | 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
|
2 Days |
General Inquiry | Request for information regarding security setup and/or maintenance. | 2 Days |
Bank Trust Custody/Retirement Recordkeeper Support | Bank Trust Custody Transfer of Assets | Directed Trustee/Paying Agent
TopNot for use by RIA clients.
Service Request | Description | ERT |
---|---|---|
Address Change | Request to change the mailing and/or legal address on an account. | Same Day |
Audit Letter Request | Request for an audit letter and/or statement copies not available online. Attach a Certification of Assets request letter. Note
|
3 Days |
Billing Inquiry | Request for Custody Service Fees charged by Fidelity. | 3 Days |
Dividend & Capital Gains | Request to change reinvestment option. | Same Day |
General Inquiry | Request for information regarding a Trust Custody or TPA account. Expected resolution may vary depending on the type of request and information provided. | 1 Day |
Money Market Omnibus Account Certification | Request to submit Omnibus Account Certification for Money Market Funds. Submit one Service Request per account to be certified. The Omnibus Account Certification for Money Market Funds Form is required. | Same Day |
Mutual Fund CUSIP Setup | Request to add a mutual fund CUSIP to an account for trading. Submit 48 hours prior to trading in the CUSIP. Any fund approval required must be obtained prior to submitting this Service Request. | 1 Day |
Revenue Inquiry | Request for revenue amount received, or to request a revenue report be generated. | 3 Days |
Trade Correction Inquiry | Inquiry regarding a trade correction, price challenge or trade/settlement date confirmation. | Same Day |
Service Request | Description | ERT |
---|---|---|
Asset Reclaim | Request to reclaim account assets transferred out of Fidelity. Reclaim need may be caused by debit, short, or dividend adjustments. Expected resolution may vary based on response from contra firm. | Same Day |
Conversion/Transfer TOA Push Instruction Forms | Request for conversion/transfer TOA push instructions. The Conversion/Transfer TOA Push Instruction Form is required. Fidelity will attach delivery instructions within two business days upon receipt of the Conversion/Transfer TOA Push Instruction Form completed in good order. | 2 Days |
TOA Deliveries Inquiry | Inquiry regarding an outgoing transfer of assets from Fidelity to another firm. Expected resolution may vary based on response from contra firm. Note
|
Same Day |
TOA Deliveries NIGO Resolution | Request to resolve an outgoing transfer reject sending assets from Fidelity to another firm. Note
|
Same Day |
TOA Delivery Request | Request to submit and attach a TOA Delivery Form. Requests submitted without a completed form will be not in good order (NIGO). Note
|
2 Days |
TOA Receives Inquiry | Request for an incoming transfer of assets from another firm to Fidelity. Expected resolution may vary based on response from contra firm. Note
|
Same Day |
TOA Receives NIGO Resolution | Request to resolve a transfer reject sending assets from another firm to Fidelity. Note
|
Same Day |
Not for use by RIA clients.
Service Request | Description | ERT |
---|---|---|
1099R Copy/Correction | Request for a copy or correction of a Directed Trustee/Paying Agent 1099-R tax form. | Same Day |
Account Maintenance | Request for Directed Trustee/Paying Agent account maintenance; attach form if applicable. | Same Day |
Address Change | Request to change the mailing and/or legal address on a Directed Trustee/Paying agent account. | Same Day |
General Inquiry | Request for information regarding Directed Trustee/Paying Agent services. | Same Day |
Pre-Authorization Manual Disbursement | Request for approval of a Participant Distribution over $1,000,000 from a Directed Trustee/Paying Agent account. Attach the Manual Disbursement Form to this request. The form must be signed by the authorized signor of the plan. | Same Day |
Statement Copy | Request for a copy of a statement not available on ePresent. | Same Day |
Administrative Trustee or Agent for Trustee Services | Trust Operations
TopService Request | Description | ERT |
---|---|---|
General Inquiry | 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
|
1 Day |
Expected resolution may vary depending on volumes.
Service Request | Description | ERT |
---|---|---|
Account Maintenance | Request to update the account level fields. | Same Day |
Assets Held Away | Request to add, remove, or modify assets held away. For new positions, a completed Assets Held Away Transmittal form is required. This form should also be used for multiple updates being submitted at one time. | 2 Days |
General Inquiry | Request for information regarding an account that is participating in one of our Trust Services or Trust Reporting Offerings. | 1 Day |
Internal Principal/Income Transfer | Request to reallocate principal and income by placing either an intra-account transfer from principal to income, or from income to principal. | Same Day |
Multiple Account Maintenance | Request to make a single type of update to multiple accounts or to update multiple transactions in a specific account using the document attached to this Service Request. This request should be used for accounts participating in either our Trust Services or Trust Reporting Offerings. | 1 Day |
Recurring Distribution | Request to create or update a net income plan noted on the trust accounting system. Note
|
2 Days |
Transaction Maintenance | Request to modify a transaction that displays in the principal and income section of the statement and online. Note
|
Same Day |
Fidelity Managed Account Exchange (FMAX) | Fully Paid Lending | Performance Reporting | Portfolio Tools | Separate Account Network
TopService Request | Description | ERT |
---|---|---|
General Inquiry | Request for information on FMAX. | Same Day |
Trade Corrections/Analysis | Request for trade corrections or analysis on FMAX. For accounts not placed on Trade Hold, Fidelity Institutional Wealth Adviser (FIWA) reserves the right to add Trade Holds when deemed appropriate. | Same Day |
Service Request | Description | ERT |
---|---|---|
Document Submission | Request to enroll into the Fully Paid Lending Program. A signed Master Securities Lending Agreement (MSLA) & Collateral Appointment Letters is required to enroll the end-customer in the program. For all entity accounts, a signed Beneficial Ownership Form is required. Additional documents may be necessary for CIP approval. All end-customers enrolling in the program must be provided with the Program Fact Sheet and Collateral Administration Agreements. All retirement accounts must be provided with the most recent National Financial Services LLC (NFS) financials. | 1 Day |
General Inquiry | Request for information regarding Fully Paid Lending. | 1 Day |
Note
Expected resolution may vary based on the complexity of the request.
Service Request | Description | ERT |
---|---|---|
Error Messages | Request related to Fidelity.com Performance Reporting errors. | 3 Days |
Online Tool | General Inquiry for Fidelity.com Performance Reporting. Note
|
3 Days |
Service Request | Description | ERT |
---|---|---|
Wealthscape Performance Measurement | 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
|
3 Days |
Service Request | Description | ERT |
---|---|---|
SAN New Product G# Request | Request to create new Strategy/Product G-numbers for use by Separate Account Network (SAN) Managers. | 7 Days |
Adverse Agency | Collateral Risk | Consumer Privacy Rights | Credit Risk | Foreign Assessments | Market/Proprietary/Operational Risk |Suspicious Account Monitoring
TopIf your request requires immediate attention, contact Risk Management by phone.
Service Request | Description | ERT |
---|---|---|
Adverse Agency Notification | Notification of potential adverse media or financial loss. | 2 Days |
Restriction Removal Request | Request for restriction removal. | 2 Days |
Service Request | Description | ERT |
---|---|---|
General Inquiry | Inquiry regarding Collateral Risk. | 1 Day |
Service Request | Description | ERT |
---|---|---|
Consumer Privacy Rights | Requests for information, correction, or deletion of personal information as is pertains to the California Consumer Privacy Act. | 45 Days |
Service Request | Description | ERT |
---|---|---|
Fee Clarification | 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
|
7 Days |
Service Request | Description | ERT |
---|---|---|
Foreign Bank | Request for removal of an L4 restriction. An active foreign bank certification form is required. | 2 Days |
Foreign Financial Institution Review | Request for Foreign Financial Institution questionnaire review or restriction removal. Attach a copy of questionnaire for review. | 2 Days |
OFAC Request | Request for removal of OFAC restriction code. Attach a copy of a legible, unexpired, permanent resident card/green card. | 1 Day |
Prohibited Country Restriction Removal | Request for removal of prohibited country restriction (Q3/T3). | 2 Days |
Service Request | Description | ERT |
---|---|---|
Adjust Block Trading | Request to adjust block trading limits. A spreadsheet of account allocations is required. | Same Day |
Adjust Credit Limit | Request to adjust credit limit. | Same Day |
Firm Level Electronic Trade Limit (Parameter) Increase Request | Request to increase the trade limit (parameter) at the firm level for electronic trading. | Same Day |
Firm Level Mutual Fund Cash Holding Waiver Request | Request to waive the cash holding requirement for electronic trading at the firm level for any mutual fund buy transaction. | Same Day |
General Inquiry | Inquiry regarding Market/Operational Risk. | Same Day |
Penny Stock Review | Request for a physical security review of Penny Stocks. Attach a copy of the certificate for review. | Same Day |
Restriction Codes | 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. |
Same Day |
Service Request | Description | ERT |
---|---|---|
Low Priced Security Monitoring | Request for re-evaluation of certain low price security deposits. Note
|
2 Days |
Suspicious Activity | Notification of potential suspicious account activity. | 2 Days |
Cashiering/Money Movement | DVP/RVP Transactions | International Operations | Margin | Prime Brokerage Transactions | Retirement Contributions/Distributions | Transfer of Assets: Deliveries | Transfer of Assets: Receives
TopService Request | Description | ERT |
---|---|---|
Check Deposit: Correction/Adjustment | Request to correct an NFS/Fidelity-processed check deposit that was either deposited for the wrong amount, to the wrong account number, or with the incorrect transaction type. For requests to change the mnemonic to TCU, attach a letter from the prior custodian. | Same Day |
Check Deposit: Inquiry | Request for information regarding a check deposit. If applicable, attach a copy of the check or other documentation that may assist in processing this request. Expected resolution may vary based upon the type of request and information provided. | Same Day |
Check Deposit: Missing | Request to locate check(s) that were sent to NFS/Fidelity for deposit but have not been processed. Attach a copy of the check. If the check has been paid, attach copy of the canceled check (front and back). | Same Day |
Check Deposit: Returned | Request for information regarding a returned deposit. | Same Day |
Check Writing: Add Stop Payment | Request to add a stop payment on a check that an end-customer has written against a Fidelity account by a check writing feature. | Same Day |
Copy of Check Deposit | Request for a copy of a check that was deposited in a Fidelity account. | 2 Days |
Copy of Check Written on Account | Request for a copy of a check written against an account. | 3 Days |
Copy of Redemption/Disbursement Check | Request for a copy of a redemption/disbursement check issued by Fidelity. Expected resolution time may vary, based upon the age of the check, bank dependency, or high seasonal volumes (typically January through April). | 5 Days |
Direct Deposit Inquiry | Request for information regarding a direct deposit. If applicable, attach supporting documentation to this Service Request. Expected resolution may vary based upon the type of request and information provided. | Same Day |
Disbursement Check Inquiry | Request for information regarding a check disbursement. This request should not be used for stop payments or check copies. Expected resolution may vary based upon the type of request and information provided. | Same Day |
Disbursement Check: Stop/Reissue | Request to stop payment, and redeposit or reissue a check to the same instructions. Note
|
Same Day |
Distribution Correction Request | Request to correct a distribution from a nonretirement account. | Same Day |
EFT Recall | Request for a trace or a recall of an EFT disbursement only. Note
|
5 Days |
EFT Restriction Removal | Request to remove restrictions placed on EFT/Directed Payee standing instructions. | Same Day |
Journal Inquiry/Correction | Inquiry about a pending journal, or request to correct a journal. | Same Day |
Pay Residual/Close Account | Request to sweep a residual amount based on previous instructions and/or close an account. | Same Day |
Wire Amendment | Request to send amending instructions on a US Dollar or Foreign Currency wire disbursement. Expected resolution may vary and is dependent upon the receiving bank for amendment of original instructions. | 10 Days |
Wire Fees and/or Funds Availability Dispute | Request to dispute a wire fee and/or funds availability for an international bank wire disbursement. Expected resolution may vary. Note
|
45 Days |
Wire Inquiry | Request for information regarding a US Dollar or Foreign Currency wire disbursement or wire receipt. Expected resolution may vary based upon the type of request and information provided. | 1 Day |
Wire Return | Request to return a US Dollar or Foreign Currency wire receipt. Expected resolution may vary based upon the type of request and information provided. | 1 Day |
Wire Trace/Recall | Request to trace, provide a tracking number, or recall a US Dollar or Foreign Currency wire disbursement. Expected resolution may vary and is dependent upon response from the receiving bank. | 10 Days |
Service Request | Description | ERT |
---|---|---|
Cancel & Correction of Confirmation | Request to cancel and correct a confirmation request. | 2 Hours |
DK Redelivery | Request to redeliver a Don't Know (DK) trade. | Same Day |
DTC ID Confirmation | Request to pull a DTC confirmation. | 2 Days |
DVP Not Settled | Request for information regarding a DVP that has not settled. | Same Day |
DVP/RVP Instructions | Request for information regarding DVP/RVP instructions. | Same Day |
General Inquiry | Request for information regarding a DVP/RVP transaction. | Same Day |
Prime Brokerage Agreement/Form 151 | Request to submit the Agreement for Prime Brokerage Clearance Services (Letter of Free Funds)/Form 151 for an existing DVP/RVP account. Attach Agreement for Prime Brokerage Clearance Services/Form 151 to this Service Request. | Same Day |
Reconciliation/Adjustment | Request for reconciliation or adjustment on a DVP/RVP transaction. | 2 Days |
Response times may vary according to the marketplace.
Service Request | Description | ERT |
---|---|---|
Account Position Inquiry | Request to amend or inquire about a position within this account. Provide CUSIP and quantity. | 2 Days |
ADR/ORD Conversions | Request a conversion of ADR to ordinary shares or vice versa (fees apply). | 5 Days |
Free Transfer | Request for non-ACAT position (non cash) transfers (Free Receive/Free Delivery). Additional paperwork may be required. Contact your Service Team to discuss any additional requirements. | 7 Days |
Fungible Security Conversions | Request for fungible/cross-border security conversions. | 2 Days |
General Inquiry | Request for information regarding international clearance and custody, including ID Markets account requests. Note
|
Same Day |
Settlement Instructions | Request to update or add settlement instructions on an incoming international trade. | Same Day |
Trade Status | Request for information regarding international unsettled trades. Include CUSIP, quantity, trade date, and local market contact. | Same Day |
Service Request | Description | ERT |
---|---|---|
Direct Debit Dispute | A request to submit a direct debit dispute. An ACH Debit Dispute Form is required at time of submittal. | 6 Days |
Extension Request | Request a margin extension. Note
|
1 Day |
General Inquiry | Request for information regarding margin. | 1 Day |
Precious Metals | Inquiry regarding precious metals delivery and/or confirmation of related fees. Expected resolution for deliveries and or inquiries may vary based on the complexity of the request. | 10 Days |
Security Requirement Review | Request to review margin requirements for a particular security. | 1 Day |
Service Request | Description | ERT |
---|---|---|
F1SA Status | Request for status of receipt of Form 1 to Schedule A (F1SA) returned from contra broker finalizing prime broker relationship. Note
|
1 Day |
Prime Broker Inquiry | Request for any prime brokerage inquiry. | 1 Day |
Prime Broker Schedule A | Request to create and send Schedule A to contra broker in order to establish prime brokerage relationship. Note
|
Same Day |
Service Request | Description | ERT |
---|---|---|
Contributions/Distributions Corrections | Request to process corrections to retirement contributions and distributions. Note
|
Same Day |
General Inquiry | Request for information regarding retirement monetary transactions. Note
|
Same Day |
Periodic Withdrawal Plan Adjustment | Request to change or correct periodic withdrawal plans, suspend RMD plans, force out short or missed payments, skip payments, or delete a plan. | Same Day |
Service Request | Description | ERT |
---|---|---|
Asset Reclaim | Request to reclaim account assets transferred out of Fidelity. Reclaim need may be caused by debit, short, or dividend adjustments. Expected resolution may vary based on response from contra firm. | Same Day |
General Inquiry | Request for information regarding the transfer of assets or status of a transfer. Expected resolution may vary based on response from contra firm. Note
|
2 Days |
NIGO Resolution | Request to update and resolve a Not In Good Order (NIGO) notification on assets transferred out of Fidelity. | 2 Days |
Rescind 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.
Note
|
Same Day |
Residual Transfer Sweep | Request to transfer the residual amount of a full transfer of assets out of Fidelity. | 2 Days |
Restriction Add/Remove Request | Request to add or remove G1/G2 restrictions on transfer of assets out of Fidelity. Note
|
Same Day |
TOA Delivery Error | Request to correct an error for assets transferred out of a Fidelity account with short, debit, wrong amount, full vs. partial, wrong check address, or Fidelity trade errors. Expected resolution may vary based on response from contra firm. | 2 Days |
TOA Delivery Request | Request to submit and attach a TOA Delivery Form. Requests submitted without a completed form will be not in good order. Liquidations require trades to have been processed prior to submitting this form. Expected resolution may vary based on volumes and the complexity of the request. | 2 Days |
Transfer Status | Request the status of a request to transfer assets out of Fidelity. | Same Day |
Service Request | Description | ERT |
---|---|---|
Cancel/Close File | Request to cancel or close a request to transfer assets to Fidelity.
|
2 Days |
Correct and Resubmit | Request to update and resolve a Not In Good Order (NIGO) notification on assets transferred to Fidelity. If applicable, attach supporting documentation to this Service Request. Expected resolution may vary based on response from contra firm. | 2 Days |
DWAC Inquiry | Request for information or status of an incoming DWAC (Deposit/Withdrawal At Custodian) deposit to Fidelity. | 1 Day |
General Inquiry | Request for information regarding a transfer of assets to Fidelity. Expected resolution may vary based on response from contra firm. | 2 Days |
Letter of Acceptance | Request a letter of acceptance to support moving assets from a qualified employee plan to an IRA. The Letter of Acceptance gets attached to item at resolution. If delivery to the plan is needed, provide details in designated fields. If a plan form is required to be completed by Fidelity, then attach for review. For transfers between IRAs, leverage the Asset Transfer in the Service menu. | 1 Day |
Requested Assets Not Received | Request for status or additional information on assets requested but not received from other firm. | 2 Days |
Residual Assets | Request to status a residual sweep of assets to be transferred to Fidelity. Expected resolution may vary based on response from contra firm. Note
|
2 Days |
Transfer Status Request | Request the status of a pending transfer of assets to Fidelity that has exceeded the next action date in Wealthscape. | 2 Days |
Service Request | Description | ERT |
---|---|---|
Data Entry | Request to update cost basis with customer provided information. Requests should be submitted only when too large to easily enter online, and must include an attached Cost Basis Update spreadsheet. | 2 Days |
Date of Death Basis Update | Request to step-up basis due to death of an owner using the fair market value. For more information, refer to Policies & Procedures (OLR) in Wealthscape. | 3 Days |
Date of Death Valuation | 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
|
5 Days |
General Inquiry | Request to review conditions where cost basis is not tracking as expected. Examples typically include positions which are unknown, or positions in which the client believes is calculated incorrectly. | 2 Days |
Maintenance Election | Request to update cost basis account elections including retirement account dividend treatment, fixed income tracking methods, and mutual fund basis method. | 2 Days |
Mutual Fund Cost Method | Request to set a default Mutual Fund Cost Method for new accounts associated with a specified G Number. Request may be submitted using the advisor's master account. This will not affect existing accounts currently on file. | 3 Days |
Transfer of Assets Related | Request for update of cost basis or research information related to an external transfer in or out of Fidelity. | 2 Days |
Vs. Purchase - Multiple Disposals and/or Multiple Lots | 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
|
2 Days |
Vs. Purchase - Single Disposal (up to 5 lots) | 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
|
2 Days |
Service Request | Description | ERT |
---|---|---|
990T General Inquiry | Request to address questions related to the 990T process. | 2 Days |
990T K1 Corrections | Request to submit corrected retirement K1s related to the 990T process. | 2 Days |
990T K1 Original Submission | Request to submit original retirement K1s related to the 990T process. | 5 Days |
990T Payments | Request to submit payments and payment inquiries related to the 990T process. | 2 Days |
990T Supporting Information Form | Request to submit Supporting Information Forms related to the 990T process. | 10 Days |
General Inquiry | Request for information regarding tax reporting not pertaining to tax form corrections. If a correction is needed, please submit a Tax Form Correction request separately. If a Duplicate Tax Form request is needed, please submit under Account Records & Documentation > Duplicate Tax Forms. For status of form corrections and mailing schedules, please refer to the online reference. | 2 Days |
Tax Form Correction | Request for prior year tax form correction. Attach any supporting documentation to this Service Request. For duplicate tax form requests, use Account Records & Documentation > Duplicate Tax Forms. | 2 Days |
Withholding Correction or Reversal | Request for a current year withholding correction or reversal. For nonretirement accounts, attach a signed W9 or W8 to this Service Request. | 2 Days |
Mutual Fund Trading | Non-Mutual Fund Trading | Trade Service
TopService Request | Description | ERT |
---|---|---|
Core Fund Money Market Sweep | Request to liquidate or purchase a core fund. Exception process to correct an incomplete sweep. | Same Day |
Fractional Share Write-Off | Request to write off fractional shares. | Same Day |
Fund Attributes/Availability | Request for information on fund fees, minimums, trading restrictions, or other mutual fund information. | Same Day |
Order Entry Request | Request for assistance to enter a trade. Note
|
Same Day |
Order Open/Not Posted | Request the reason an open order has not been filled on an account. | Same Day |
Order Rejected/Canceled | Request the reason an order was rejected or canceled. | Same Day |
ROA/LOI Inquiry | Request status regarding Rights of Accumulation (ROA) or Letter of Intent (LOI) processing. | Same Day |
Trade Correction Inquiry | Request for information regarding a trade correction. | 1 Day |
Trade Reject (ACAT Related) | Request for information on a trade reject on trades that have rejected due to re-registration of shares. Resolution is contingent upon the contra firm, which may take 5-30 days. | Same Day |
Transaction Discrepancy | Request for information regarding a breakpoint, dollar/share amount, or trade date discrepancy. | Same Day |
Service Request | Description | ERT |
---|---|---|
Cross Transaction Request | Request to initiate a fixed income or equity security cross transaction between accounts on which the advisor firm is authorized to trade. One security per request. | 1 Day |
DTC Inquiry | Request for information on a DTC (Depository Trust Company) item. | Same Day |
General Inquiry | Request for information regarding policies and procedures for non-mutual fund trading. Note
|
2 Days |
Large Trader ID Submission | Request to update Large Trader ID per SEC Rule 13h-1. Note
|
Same Day |
Redelivery of a DK | Request to redeliver a Don't Know (DK) trade. | Same Day |
Service Request | Description | ERT |
---|---|---|
Corporate Action Exception Request | 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
|
Same Day |
Trade Away | Request for information on Prime Brokerage and DVP Trade Away related items. Note
|
1 Day |
Service Request | Description | ERT |
---|---|---|
Add or Modify Access | Request to add or modify a user ID or entitlements (ACSETUP). If applicable, attach the form to this request. This Service Request is not meant for account maintenance-related items or for adding or modifying contacts. Resolution times for nonstandard requests (e.g., third-party requests) may vary by vendor. | 2 Days |
For DBS use only.
Account Maintenance | Risk Management | Trade Support
TopService Request | Description | ERT |
---|---|---|
Add Employee Account(s) | Add employee accounts to your feed in order to receive data for compliance monitoring purposes. | 3 Days |
General Inquiry | Request for additional information related to an existing DBS account(s). Include account number(s), employee name(s), and additional details as needed or attach a list. | 3 Days |
Remove Employee Account(s) | Remove employee accounts from the compliance feed that no longer require monitoring. | 3 Days |
Statement/Confirm Copy | Request to receive a copy of a statement or confirm for DBS. Include account number(s), employee name(s), and statement period dates in Additional Details field or attach a list. | 3 Days |
Stop Paper Statements | Request to stop delivery of paper statements and/or confirms. Include account number(s) and employee name(s) in Additional Details field or attach a list. | 3 Days |
Undisclosed Account Identification (UAI) | Request to identify undisclosed accounts that are not currently on your compliance feed. Attach a spreadsheet with SSN, last name, first name, and date of birth. | 3 Days |
Service Request | Description | ERT |
---|---|---|
Fraud Review | Request to review fraudulent activity. | 10 Days |
Service Request | Description | ERT |
---|---|---|
Trade Remediation | Request for a trade remediation based on an employee's violation of their firm's trading policy. Trade would be reversed at the current market price. | Same Day |
875105.16.0