DUPLICATE STATEMENTS. Send duplicate statements to: 1. Name Company Address 2. City State Zip Name Company Address City State Zip
DUPLICATE STATEMENTS. Complete to request duplicate statements sent to third party listed below in addition to the shareholder and registered representative: Name – First, Middle, Last Mailing Address City State Zip
DUPLICATE STATEMENTS. (For Dealers, Financial Planners, Interested Parties) Name Company Street Address City, State, Zip Email Address Daytime Telephone Broker/Dealer Code Branch (if applicable) Please mark the appropriate box: □ Interested Party □ Broker/Dealer □ Financial Planner □ Trust Administrator
DUPLICATE STATEMENTS. If an individual has filed a financial statement under one provision of this subchapter covering the preceding calendar year, the individual is not required to file a financial statement required under another provision of this subchapter to cover that same year if, before the deadline for filing the statement under the other provision, the individual notifies the commission in writing that the individual has already filed a financial statement under the provision specified. Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1, 1993.
DUPLICATE STATEMENTS. Please complete this section if you wish someone else to receive copies of your statements.
DUPLICATE STATEMENTS. For Dealers, Financial Planners, Interested Parties Name (First, Middle, Last) Company Street Address City State ZIP Email address Daytime Telephone Broker/Dealer Code Please mark the appropriate box: Branch (if applicable) Interested Party Broker/Dealer Financial Planner Trust Administrator
DUPLICATE STATEMENTS. The Annuity Service Help Desk NOTE: Whenever possible, an attempt should be made to resolve client concerns at point of contact. TRANSFERRING PROBLEM CALLS top --- Refer to the information below as a guide before transferring calls to other departments: FINANCIAL DISPUTES RESOLUTION ------------------ ---------- Operations . Transfer the call to Priority Service. . Create a PROBLM Work Item with the corresponding subtype. Service Processing . Transfer the client to the Annuity Service Help Desk or team leader. Unknown Processing . Transfer the caller to the Annuity Service Help Desk or team leader. Branch Processing . Refer the client back to the branch. Sales Processing . Transfer the call to Priority Service. . Create a PROBLM Work Item with the corresponding subtype. -------------------------------------------------------------------------------- Page 139 PROBLEM ESCALATION TIME FRAMES - CLIENT MAILINGS top --- Refer to the table below to determine time frames for escalating problems regarding mailings to clients:
