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Client Service Requests

Overview

NOTE: Please see the following topics for additional information on Service Center:

Once you initiate your service requests, you use Service Center to view and manage these communications submitted to Fidelity.

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Filtering Your Service Requests

NOTE:

  1. Select Service > Service Center > Client Service Requests.
  2. Use the drop-down menus and fields to specify filtering parameters so you can locate the desired service request(s).
  3. When you finish entering your criteria, click the Search button to display a list of any service requests that match the filtering criteria. NOTE: If you are assigned to a user profile, the list contains only the service requests in the categories and subcategories specified in this profile.
  4. Based on the search results and the status of the service request, you may add a note or attach a file to it or reopen a Resolved request.
  5. If you wish to perform another search, click the Modify Search link above the results list to display the search criteria so you can specify new filtering parameters.

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Viewing and Adding a Note to a Service Request

  1. Locate a desired set of service requests.
  2. Using the list in the Results section of the page, click the Tracking # link associated with a specific service request to display its Service Request Details page.
  3. The Service Request Details page is divided into several sections, including an Event History associated with the service request. Click the Add Note/Attachment link to add one or both items to the request using the Add Note pop-up window. NOTE: If you decide you no longer want to add a note or attachment, click the Cancel link to terminate the operation and close the pop-up.
  4. Enter the desired information in the Note section of the window. NOTE: The maximum length of the Note field is 1000 characters.
  5. If you wish to attach a file to the service request, click the checkbox associated with Attach a file. NOTE: See Attaching a File to a Service Request or a Service Message for information on performing this operation.
  6. Click the Submit button to complete the operation(s) and close the pop-up window.
  7. The Event History now includes the note you added. Click the NOTE link if you wish to view your input in a pop-up window. Also, if you chose to attach a file, the Event History now includes this information and the number in the Attachments section is updated to reflect the file you attached to the request. Click the View Attachments link to display the associated pop-up window containing a list of filenames that link to their respective files.
  8. If you finish working with the selected request, but wish to continue working with other service requests, click the Return link to display the Client Service Requests screen. Otherwise, close the window.

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Modifying a Service Request

  1. Locate a desired set of service requests.
  2. Using the list in the Results section of the page, click the Tracking # link associated with a specific service request to display its Service Request Details page.
  3. Click the Modify button, which adds an entry to the Event History.
  4. If you have the proper entitlement and you feel the handling of this service request is urgent, select the Escalation Required? checkbox.
  5. Enter a reason for the modification in the Notes section of the screen (required) and then click the Modify button. NOTE: The maximum length of the Notes field is 1000 characters.
  6. Either close the window or use the links at the top and bottom of the Modify Confirmation screen to perform one of the following next steps:

    7. Attach a file: Displays the Add Attachments screen that you use to locate the file(s) you wish to include with the service request. NOTE: See Attaching a File to a Service Request or a Service Message for information on performing this operation.
    OR
    Return to the View/Manage Service Request Details: Displays the Service Request Details page for the selected request with its Event History section updated to reflect the Note information you added.
    OR
    Return to the View/Manage Service Requests: Displays the main Client Service Request page with the current search criteria retained.

  7. If you finish working with the selected request, but wish to continue working with other service requests, click the Return link to display the main Client Service Requests screen. Otherwise, close the window.

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Deleting a Service Request

Service Center does not contain a specific delete function. In the event you wish to retract a request (e.g., you changed your mind and do not want the request processed OR duplicate service requests were submitted in error), view and then modify the service request by providing the appropriate directions to the servicing area using the Notes field.

Enter the following recommended text into the Notes section for the above situations:

NOTE:

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Reopening a Service Request

NOTE: If the resolution of a service request does not meet your expectation and there is some urgency behind this request (for example, a pressing client issue), you can reopen a Resolved service request. Reopening flags the service request as escalated. Once escalated, a 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).

  1. Locate a desired set of service requests. NOTE: Since you wish to reopen a service request, you should include the Resolved Status in your criteria.
  2. Using the list in the Results section of the page, click the Tracking # link associated with a specific, Resolved service request to display its Service Request Details page. NOTE: Because the selected service request is Resolved, you have the ability to reopen it by clicking the Reopen button.
  3. Use the Notes field to enter your reason for reopening the service request. NOTE: The maximum length of the Notes field is 1000 characters.
  4. When you finish entering your information, click the Reopen button.
  5. The Reopen Confirmation screen displays. Notice the checkbox associated with Escalation Required is checked. Either close the window or use the links at the top and bottom of the screen to perform one of the following next steps:

    Attach a file: Displays the Add Attachments screen that you use to locate the file(s) you wish to include with the service request. NOTE: See Attaching a File to a Service Request or a Service Message for information on performing this operation.
    OR
    Return to the View/Manage Service Request Details: Displays the Service Request Details page for the selected request with its Event History section updated to reflect the Note information you added.
    OR
    Return to the View/Manage Service Requests: Displays the main Client Service Request page with the current search criteria retained.

  6. If you finish working with the selected request, but wish to continue working with other service requests, click the Return link to display the main Client Service Requests screen. Otherwise, close the window. NOTE: When you view the modified service request on the Client Service Request page, the status is now Reopen and an exclamation mark indicates the item is escalated. Also notice the entry in the Last Updated column reflects the date and time you reopened the service request.

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Filtering Criteria

The following table includes the criteria available on the Client Service Requests screen. You use this information to create filtering scenarios when viewing and managing your service requests. NOTE: The choices available to you in the Category and Subcategory drop-down menus are determined by your assigned service request user profile (if any).


Criteria Description
Account #

10 character field used to indicate a specific, valid account number to which you have access.
Format is:

  • First 3 positions are alphanumeric
  • Last 6 positions are numeric only
  • May contain a dash in the fourth position

NOTE: Error message displays if the account number entered does not match a valid account accessible by you.

Last Name

25 character field used to indicate the letters in a last name associated with an account.
NOTE: Error messages display if you try to enter more than 25 characters or try to perform the search with less than 2 characters in the field.

Short Name

10 character field used to indicate the letters in a short name associated with an account.
NOTE: Error messages display if you try to enter more than 10 characters or try to perform the search with less than 2 characters in the field.

SSN/TIN

11 character field used to indicate the Social Security Number or Tax Identification number associated with an account.
NOTE: 9 numeric digits and two dashes; error message displays if this is not the case.

Tracking #

15 character field used to indicate a work item number assigned to a service request.
NOTE: Must be 15 characters using the following format: W999999-DDMMMYY, where MMM represents the alphabetic abbreviation for the month value (JAN, FEB, MAR, etc.).

Created On

Used along with the From and To fields to specify a date range (the maximum being 95 days).

  • From: Pre-filled by default with today's date minus 30 calendar days. Must be a valid date, current date or a date in the past using the format MM/DD/YYYY (month or day may be supplied without the leading zero).
  • To: Pre-filled by default with current date. Must be a valid date in format MM/DD/YYYY (month or day may be supplied without the leading zero) and greater than or equal to the From date.
Category

Drop-down menu, which defaults to All. Used to indicate the service request category.

Subcategory

Drop-down menu, which defaults to All. Contents that display are dependent upon the selection made in the Category drop-down menu. Used to indicate the service request subcategory (service request itself). Click on an entry to make a selection. You can choose up to three entries by holding down the Ctrl key and clicking additional selections.

Status

Drop-down menu, which defaults to All Statuses. Used to indicate a desired service requests with a given state of completion.

Agency

8 character field used to indicate the Agency code assigned to the account on Fidelity's FBSI system.
NOTE: This field is not used by all firms; entries can be alphanumeric only.

Entering User ID

10 character numeric field used to indicate the User ID of a specific individual who submitted the service request.
NOTE: Error message displays if you enter less than 10 numbers.

NOTE: If you are assigned to a user profile, your search results contain only the service requests in the categories and subcategories specified in this profile. Even if you do not specify any filtering criteria, searching only yields results on the user profile-defined service request categories and subcategories.

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Statuses

The following tables provide descriptions of the statuses that may be associated with your service requests as they are processed.

NOTE: All service requests are stored indefinitely by Fidelity. However, based on their status, they may not be accessible online past a set period of time.

Open Statuses


Status Description
Escalated

Service request was escalated when it was created or modified or was reopened and either moved into a separate specific work queue or placed at the top of the work queue (depending upon the particular service request).
NOTE: The escalation of a service request is indicated by an exclamation mark icon not by the verbiage Escalated in the Status column.

In Process

Fidelity is working on your request but cannot make a final determination on its processing (e.g., Resolved, NIGO, or Rejected/Unable to Process) at this time.

Not In Good Order (NIGO)

Fidelity received the request, but deemed it not in good order. Additional information must be provided by the client in order to process it.

Reopened

Resolved service request was opened again because there was an issue with it (e.g., resolution did not meet expectations, error in original request, etc.).

Saved Draft

Service request was saved by the client before its submittal to Fidelity. Therefore, the request is in a draft mode and has not been submitted (and will not be processed until it is sent to Fidelity).
NOTE: The service request will not be processed until/unless it is submitted.

Submitted

Service request was sent to Fidelity for processing.

 
NOTE: The following statuses only apply to a limited number of users.
Approved HO Service request was approved for processing by the home office.
Not In Good Order (NIGO) HO The home office received the request, but deemed it not in good order. Additional information must be provided by the client in order to process it.
Pending HO Approval The home office received the request, but it is not yet approved.

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Closed Statuses


Status Description
Cancelled

Service request was deleted before being processed.

Rejected/Unable to Process

Fidelity received the request, but either was unable to process it or rejected it.

Resolved

Service request was completed and is considered closed.

 
NOTE: The following statuses only apply to a limited number of users.
Rejected HO The service request was rejected by the home office.
Resolved HO The service request was completed by the home office and is considered closed

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