Overview
Service Request Descriptions
Service Message Descriptions
Service Item Statuses
Field Definitions
- Search for Service Items (Includes archived items)
- Filter By Columns
- View Service Item Detail
- Flag Items
- Dismiss Items
- Customize the Window
Service Requests:
- Modify Service Requests
- Delete Service Requests
- Reopen Service Requests
Service Messages, if entitled:
- Respond to Service Messages
- Pend Service Messages
- Close Service Messages
- Reopen Service Messages
Other Requests, if entitled:
- Manage Onboarding eSignature Items
- Manage Trade Correction Items
Alerts, if entitled:
- Subscribe to Service Item Alerts
Service Center is the primary communication and problem resolution tool between your firm and Fidelity. When you open Service Center, your listed service items represent the different service-related communications initiated by your firm. (Service Item Types)
Service Center organizes service items by these tabs:
Action Items (Default)
This grid lists service items that require your action or
response. Use this grid for immediate access to your actionable items
without having to search for them. A basic search feature is
available.
All Items
This grid lists all your service items. Use this grid to search across
your service items in various ways, such as to locate a specific service
item or to locate specific types of service items using an advanced search
feature. If you often perform the same types of searches, you can save
those searches for quick access.
The number of listed service items displays below the grid. When greater than 1,000 results are returned, service items display in increments of 500 rows per page. Below the grid, change the default of 500 rows to 20, 50, or 100 per page. By default, items list in ascending order by Response Due. Select another column heading to manually resort this ordering. (Customize the Window)
Subscribe to alerts related to Service Request and Service Message status changes and respond to these notifications in Service Center. These alert subscriptions are account-specific and available at both the subcategory level and the individual item level.
Note
The User Profile Administration Tool (UPAT) may limit which Service Messages and
Service Requests you can view within Service Center.
Service items are initiated by one of the following:
Service Messages (If entitled)
Generated by Fidelity to electronically communicate to your firm about a
service matter. Communications can include a Fidelity notification that a
service item is not in good order (NIGO). A response from you to a
Service Message may be required, optional, or not allowed. Fidelity
creates messages in one of two ways:
Manually
Created and sent by a Fidelity associate, perhaps regarding a trade-type
error in an account. In this case, the Service Message is
account specific.
Automatically
Generated and sent automatically by an internal Fidelity system,
possibly because of an update to a compliance regulation. This type
of Service Message is firm directed.
Other Requests (If entitled)
Other requests represent service items not initiated using Service
Center; for example, items created in other Fidelity systems or items
delivered by fax/mail or Document Submission channels. Access these items
and, if entitled, navigate to the source tool to view, or manage the item.
Examples include, where entitled:
- eSignature ceremony associated with incoming asset transfer.
- Money movement transactions requiring approval in ICP.
- Online forms submittal using Forms Library.
- Trade corrections requiring approval on Initiate Trade Correction.
Up to 90 days of service item history for closed items and up to 365 days of service item history for open items (based on Creation Date) is available for non-archived items. Archived Service Requests and Service Messages are stored based on the Fidelity retention requirements.
When you first access the All Items tab, it uses either the default system-defined search or your user-defined search to populate the grid. The system default is "All Items for the Last 7 Days" in ascending order by Response Due. Other system-defined searches are:
- AO/TOA for Last 60 Days
- Draft Forms for Last 60 Days
A search can return up to a maximum of 10,000 results. If more than 10,000 matches result, the first 10,000 display. Use Advanced Search to narrow the results. Also, if assigned to a User Profile, your search is filtered by that profile.
- Search Using Basic Criteria
- Search Using Advanced Criteria
- Save a Search
- Edit a Saved Search
- Delete a Saved Search
- Specify a Default Search
- Search for Archived Items
Perform a basic search on either the Action Items or All Items tabs.
To search using basic criteria
From Search by, select an option:
Account #
Enter the nine-character account number, with or without the dash.
Last Name
Enter a minimum of two characters of a primary account holder's last name.
FBSI Short Name
Enter a minimum of two characters of the Fidelity-defined short name of the
primary account holder.
Item Number
Enter the full 15-character identifier that was generated when the service
item was created.
Confirmation #
Enter the full confirmation number associated with the service item.
Select Search.
Go to:
Save a Search
Specify a Default Search
View Service Item Detail
Select Search.
Go to:
Save a Search
Specify a Default Search
View Service Item Detail
On the All Items tab only, perform a search, and then save it as one of up to 10 saved searches. You may also specify one of the saved searches as the default search.
A label above the grid names the search currently in use and the number of matching service items.
To save a search
To make this your default search, select Save as Default Search.
- Clear the check box if you don't want this as your default search.
You can edit your saved searches. You cannot edit system-defined searches, which can include:
- All Items for Last 7 Days
- Draft Forms for Last 60 Days
To edit a saved search
You can delete your saved searches. You cannot delete system-defined searches, which can include:
- All Items for Last 7 Days
- Draft Forms for Last 60 Days
If you delete a search currently represented as the default search, the default search then becomes the system default search, All Items for Last 7 Days.
To delete a saved search
Select the arrow associated with a listed search, and choose Delete.
- A message prompts you to confirm the deletion.
At any time, you can specify which search is your default search. Upon opening Service Center, items display according to your default search criteria.
To specify a default search
On the All Items tab, select Saved Searches.
- If a default is designated, it is indicated by (Default).
Select the arrow associated with a listed search, and choose Set as Default.
- A message prompts you to confirm.
Select Continue.
- The default search is used the next time you open Service Center.
When search results include archived service items, the message "Indicates archived items" displays and the archived items are shown in italic font. Archived service items are read-only and cannot be reopened. After a period, archived service items are purged from Service Center.
Archived Requests
Archived Messages
Note
Searching for archived items may impact the availability of other search criteria
options.
To search for archived items
Select the Include Archived items check box.
Enter at least one of the following required criteria (Advanced Search Criteria):
Account #
SSN/TIN
Item Number or Transaction ID
Confirmation #/Airbill #
Access further detail about a listed service item. Generally, detail includes these expandable sections, where applicable:
Summary
Displays basic information about the service item such as account number and status.
Details
Displays information specific to the service item and varies based on the service item type, category, and sub category.
History (N)
Displays events and actions that have occurred for the service item; N
indicates the number of events. Select the entry to display an abbreviated
note or memo specific to the line item, if available.
Attachments (N)
Displays links to any attachments for the service item, if applicable. N
indicates the number of attachments.
Notes (N)
Displays notes related to the service item, if applicable. Also shows the
date and time a note was added, and the name of the user who added it. N
indicates the number of notes.
Escalation Required (Service Request)
Indicates if the Service Request has been, or can be, escalated by the
user.
Priority (Service Message)
Indicates if the Service Message has been, or can be, marked as a priority
by Fidelity.
To view service item details
To generate a PDF of the displayed service item details, select the PDF icon.
Go to, where available:
Add Notes
Subscribe to Service Item Alerts
Modify Service Item Alerts
If entitled and where available, add a note to a submitted service item.
To add notes
From the results of your search, flag an item of interest. By flagging items, you can then filter the Flagged for Follow Up column to view just those items you have identified.
To flag items
To view your flagged items
On the Action Items tab, to help reduce the number of overall items, dismiss an item from your list. This removal is unique to your view of the Action Items tab, which means the item remains visible for other users on their Action Items tab. You can, however, still view the item on the All Items tab.
Note
Dismissing an item in Service Center also dismisses it from Notifications, if
entitled. Dismissing an item in Notifications dismisses it from the Action Items
tab. (View Notifications)
To dismiss/undo dismiss items
On the Action Items tab, in the Dismiss column for a listed item, select Dismiss.
- The link changes to Undo Dismiss.
- The item remains listed until you refresh the window or navigate away.
To return the item to your list, select Undo Dismiss.
Quickly filter items based on the values in one or more columns. Notice that column headers contain arrows. Select an arrow to display its list of values. For example, select the arrow in the Account # column and choose a specific account number. Now, select the arrow in the Request Type column, and select Service Requests. Now, only Service Requests for the selected account display.
Most columns are available for filtering, except Created Date, Item Number, Response Due, and Updated Date. Any filters you select, however, are not saved when you save a search.
To filter the display
Select Filter.
- Only items that match the chosen value(s) display.
- A funnel icon in the header shows that the display is filtered.
Repeat from step 1 to further filter the display.
Customize data in the grid by adding, removing, and arranging columns, and establishing primary and secondary columns to sort the grid. Your column customizations remain persistent from session to session.
In addition to customizing the grid, you can make ad-hoc changes. These types of changes are auto-saved every 15 seconds and are considered "near-persistent." However, these manual changes are not saved when you leave or close Service Center:
- Drag and drop columns to a different location
- Resize columns
- Sort a column
You can also set a preference for refreshing data in the grid. The default setting requires you to manually refresh the window by selecting the Refresh icon.
- Add, Remove, and Arrange Columns
- Set Refresh Preference
To add a column in the grid, in the Available Columns box:
- Select the column name.
- Select Add.
To remove a column, in the Selected Columns box:
- Select the column name.
- Select Remove.
Note
Alternatively, drag column names between the two boxes.
To change the order of a column in the grid, from the Selected Columns box:
- Select a column name.
- Select Move Up or Move Down.
To set sort options:
To indicate a primary column to sort the grid, in the Selected Columns box:
- Select a column name.
- Select Set Primary Sort.
- Then, choose Ascending or Descending.
- The primary sort column now displays with an asterisk (*).
To indicate a secondary column to sort the grid, in the Selected Columns box:
- Select a column name.
- Select Set Secondary Sort.
- Then, choose Ascending or Descending.
- The secondary sort column now displays with two asterisks (**).
Select an option:
Manual Refresh (Default)
Disable automatic refresh. This means that items in the grid are not
reordered each time you return to it. Instead, select the
Refresh icon to refresh the data. If you do not spend a
great deal of time handling service items, this is probably the better
option.
Automatic Refresh
Enable automatic refresh. This means that each time you return to the grid,
such as after viewing the details of a service item, it is refreshed, and
the items reordered. Based on the number of items, this process could cause
a visual lag in the update of the display.
If entitled, modify a Service Request when the status is:
- Pending
- Pending HO Approval
- Reopen
- Resubmitted
- Submitted
To modify a service request
Service Center does not contain a specific delete function. In the event you want to retract a request (e.g., changed your mind and do not want the request processed or a duplicate Service Request was submitted), use the Notes file to submit appropriate directions to the servicing team.
To delete a service request
Double-click a row, or right-click a row and select View Request Details.
Select Modify.
Enter directions in the Notes section, such as:
"Please ignore. I no longer want this request processed."
"Duplicate requests were submitted in error. Please ignore this request and process the following work item number instead (include 15-character work item number)."
If the resolution of a Service Request did not meet your expectation and there remains some urgency behind the request (for example, a pressing customer issue), reopen the Resolved request.
Reopening flags the Service Request as escalated. Once escalated, the Service Request either moves into a separate specific work queue or is placed at the top of the work queue (depending upon the particular Service Request).
To reopen a service request
If entitled, and response is Required or Optional, you may respond to the message.
To respond to a service message
Close a Service Message when the response is Not Allowed or Optional. You cannot close a Service Message if the response is Required or if you have already responded to the message.
Once a Service Message is closed, its status becomes Resolved and an activity is logged in its History showing your ID as the user who closed the message. (Reopen Service Messages)
To close a service message
Prior to being archived, usually 90 days after it was closed, you can reopen a Service Message when its status is Resolved. The status of the message first changes to Reopen, and then changes to Awaiting Client Review.
To reopen a service message
To acknowledge that you read a Service Message, but do not want to close it, pend the Service Message. The message status must be Awaiting Client Review and one of the following must be true:
- Response = Required or Optional
- Additional Action Required = Yes
To pend a service message
Subscribe to receive alerts for an individual service item. The service item must be either a Service Request or Service Message in an Open status. Choose which status changes should trigger the alert and specify up to three email addresses for alert delivery. Regardless of whether you specify a delivery option, you can view alerts on Wealthscape Alert Manager. (Open Alerts)
When you subscribe to a service item alert, you may unsubscribe from its overall subcategory alert, provided it is not a mandatory alert. If you subscribe to alerts at both levels, the subscription settings for the service item alert override those at the subcategory level. Changes to subscriptions at the subcategory level have no impact on subscriptions at the service item level. Also, the alerts you receive for the service item do not result in duplicate alerts at the subcategory level.
To subscribe to a service item alert
Double-click a row, or right-click a row and select View Request Details.
Select Set Up Alerts (top of page).
Select each status you want to be notified about.
If already subscribed to mandatory alerts within this alert's subcategory, the mandatory alert statuses are grayed out and cannot be cleared.
If already subscribed to non-mandatory alerts within this alert's subcategory, to unsubscribe from all non-mandatory subcategory alerts, select Unsubscribe.
Select one or more Email check boxes or enter an email address, if available, to indicate which emails receive alerts.
Select Set Up Alerts.
Go to:
Modify Service Item Alerts
Unsubscribe from Service Item Alerts
Modify a service item alert subscription by changing status filters and/or delivery options.
To modify a service item alert
Enter changes to the alert:
- Statuses to be notified about
- Email addresses to receive the alert
When you unsubscribe from a service item alert, the subscription no longer displays in Alert Manager and you no longer receive the alert.
To unsubscribe from a service item alert
Under Status Selection (top of page), select Unsubscribe.
- A message prompts you to confirm.
- Resend eSignature Requests
- Edit Account Applications
- Cancel Account Applications
Resend the eSignature request to an account signer's current email address. This feature may be helpful in the event an account signer cannot locate the eSignature request email from DocuSign.
The following must be true to resend an eSignature request:
The status of the service item is Pending eSignature.
The Signer Status must be "Sent" or "Delivered." The status cannot be "Created," which indicates the original DocuSign email has not yet been sent. As long as the signer's status remains "Sent" or "Delivered," you can resend the request.
The artifacts have not been eSigned and returned by the account signer. If a signer has already signed, that signer is not eligible for a resend request. If more than one account signer on the account requires a resend request, initiate a separate resend request for each signer. Once artifacts are signed by all signers on the account, the resend option is no longer available.
To resend an eSignature request
- Expand the Signer Status section.
- If eligible, the Actions column shows an arrow icon.
Select the arrow icon and choose Resend Email.
- A message confirms that the email was resent.
Edit an account application as long as its status in Service Center is Pending eSignature or, if applicable, Pending HO Approval. The ability to edit depends on the application:
Application contains a relationship
When at least one selected Onboarding feature in the application creates a relationship between the accounts, all accounts and features in the application must be authorized together as a group. Examples of features that create a relationship include Statement Householding, Account Access Rights, Firm Documents, or Managed Accounts. You can edit and resubmit the group as long as eSignatures remain pending for at least one account or feature.
Application does not contain a relationship
When no relationship exists between accounts, the accounts and features in the application are authorized independently of one another. You can edit and resubmit an individual account or feature as long as its eSignatures remain pending.
When used, this ability:
For an application that contains a relationship, the actions above occur for all accounts and features, even ones that have already completed their eSignature ceremonies.
Note
Firm documents previously attached are retained as part of this workflow but must be re-tagged prior to submitting the revised account kit for eSignature.
To edit an account application
At the bottom of the Request Details window, do the following:
- If there isn't a relationship, select Edit and Resubmit.
- If there is a relationship, select Update Account Group.
- A message prompts you to acknowledge the cancellation.
Select Yes to continue.
Go to: Save Draft to Complete Later
If entitled, cancel a single-account application that does not contain a relationship, as long as the item remains unapproved by your Home Office. This means that even if all account signers have signed but the item remains in "In Process," "Pending eSignature" or "Pending HO Approval" status, you can cancel the item.
When used, this ability:
When a bundle submission does not contain a relationship but includes multiple single-account applications, each account's eSignature Signing Ceremony must instead be canceled separately in Service Center. Account applications that do contain a relationship do not display the Cancel option on Service Center. Instead, to cancel the application, select Edit and Resubmit to return to Onboarding, Funding & Maintenance, where you can save and exit the draft and then delete it. All work items related to the account group submission will be canceled. (Save Draft to Complete Later)
To cancel an account application (without a relationship)
At the bottom of the Request Details window, select Cancel.
- A message prompts you to confirm the cancelation.
Select Yes.
| Field | Action |
|---|---|
| Include Archived Items | Include archived Other Requests, Service Requests, and/or Service Messages in the search results, if available. When including archived items in an advanced search, complete one or more one of the following fields: Account #
|
| Account Details | |
| Account # | Enter the account number associated with the service items. |
| Agency | Enter the agency code (up to eight characters) associated with service items. |
| FBSI Short Name | Enter the Fidelity-defined short name of the primary account holder associated with the service items. |
| Last Name | Enter the last name of the primary account holder associated with service items. |
| SSN/TIN | Enter the nine-digit Social Security number or tax identification number associated with the service items. |
| Transaction Details | |
| Category | Select one or more categories. Your selections in the Request Type box populate the Category box.
|
| Channel Type | If you select Service Messages and/or Service Requests as the Request Type, by default, the channel type is Service Center. If you select Other Requests as the Request Type, specify one or more originating channels: Customer Web
|
| Confirmation #/Airbill # | Enter the confirmation number or the airbill number assigned to the service item. |
| Created Date | Select a range of dates to view service items according to the date and time they were created: Last 7 Days (Default)
|
| Entered By | Specify the user who initiated the service items: Me
|
| Flagged for Follow Up | Indicate whether to search your flagged items only. |
| Item Number or Transaction ID | Enter the 15-character identifier generated when the service item was created, or the transaction ID associated with the asset transfer. Note
|
| Originating Reference # | Enter the reference number assigned to a service item. |
| Request Type | Select one or more request types to locate service items based on the way they were initiated: Other Requests
Note
|
| Status | Select one or more statuses. Select Cancelled to search for deleted Service Requests. - All Status is the default. |
| Subcategory | The subcategories for the chosen categories, and to which your user profile entitles you. Your selections in the Category box populate the Subcategory box. If you do not select a subcategory, all subcategories are included in the search. |
| Specific Transactions | |
| Attention | Use the text field to optionally specify the name of the individual at the firm who is handling Service Messages. |
| Contra Firm | Enter the name of the receiving or delivering custodian on a transfer of assets service item. |
| Response | Select one or more Service Message response types: Required
|
| Response Due | Select when a response from your firm was due on a Service Message: Next Business Day
|
| Field | Definition |
|---|---|
| Account # | The account number associated with the individual service item. |
| Account Name | The last name of the primary account holder associated with the individual service item. |
| Addl Action Req'd | Indicates if additional action is required for the service item: Yes
|
| Age | The age of an item is based on its status: Open
|
| Agency | The agency code associated with the individual service item, up to eight characters. |
| Attention | The name of the individual at the firm who may find the Service Message most relevant. This field does not control who can view or respond to the Service Message, but merely indicates who at the firm is most appropriate to respond to it. Note
|
| Category | The description of the service item's category. |
| Channel Type | The originating source of the service item. If Request Type is Other Requests, this column can contain: Customer Web
|
| Confirmation #/Airbill # | The confirmation number or airbill number associated with the individual service item, if applicable. |
| Contra Firm | The name of the receiving or delivering custodian on a transfer of assets service item. |
| Created Date | The date and time when the service item was created; in MM/DD/YYYY HH:MM AM/PM ET format. |
| Dismiss | A link used to remove the service item from a user's action items list. |
| Entered By User ID | The ID of the user who initiated the service item or SYSTEM if automatically generated by the system. |
| Entered By User Name | The name of the person who initiated the individual service item in last name, first name format or if automatically generated by the system. |
| Escalated/Priority | An escalated/priority (exclamation point) icon indicates that the service item is flagged as an escalated or priority item. |
| Expected Resolution Date | The expected date the service item should be resolved. |
| Expected Resolution Time | The service level agreement (SLA) value for the resolution of the subcategory in days, hours, and minutes; in DDd HHh MMm format. |
| FBSI Short Name | The Fidelity-defined short name of the account number associated with the service item. |
| Firm Name | The name of the firm associated with the individual service item. |
| Flagged for Follow Up | Indicates a service item flagged for follow up: - Hollow flag icon = non-flagged item
|
| Gift | Indicates whether the TOA is a gift: Y The TOA is a gift.
|
| Item Number | The work item number assigned to the service item. |
| Market Action | For a Trade Correction Service Item, indicates whether Fidelity is to take market action on your firm's behalf on imbalanced positions caused by the correction request: No
|
| Primary G Number | The primary G Number associated with the account. |
| Request Type | The means by which the service item was initiated: Other Requests
|
| Response | The condition associated with the response to the service item: Required
|
| Response Due | The date and time when a response to the service item is due from your firm. The Response Due Date/Time displays in red when either one of the following is true:
|
| Security Type | For a Trade Correction Service Item, The security type(s) for the trades included in the correction request: Both
|
| Service Team | The name of the servicing area to which the request was sent for processing or the name of the servicing area that sent the message. |
| Status | The status of the service item. (Service Item Statuses) Note
|
| Subcategory | The subcategory description of the service item. |
| Transaction ID | The ID associated with the asset transfer or money movement item. |
| Updated Date | The date and time when the service item was last updated; in MM/DD/YYYY HH:MM AM/PM ET format. |
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