Regal Operations Newsletter July 2019

As we begin a new month, the Regal Investment Advisors / Regulus Advisors Service team has gathered a new set of useful tips. These tips cover areas that we feel answer commonly asked questions or can help advisors and/or assistants.

Check Contribution Reminder

One important thing to remember when submitting checks to Regal’s back office is to ensure the account is opened before the checks are mailed. If a work item to open an account is NIGO’d (Not in good order) and the check arrives before the NIGO is corrected, Regal is allowed to hold the check for 48 hours before it will be mailed back to the advisor for regulatory reasons. Also, please remember to include the account number on the check contribution form to ensure the check is being deposited into the correct account.

AdvisorClient.com Has New Features for TD Ameritrade Clients!

TD Ameritrade has made new improvements to their client formatted site AdvisorClient.com that make the experience for the client simpler and more user friendly.

A few notable features are:

  • Clients 70 ½ years old can now easily see how much money they have left to take out for their Required Minimum Distributions
  • Maximum contribution limits are displayed on the front page showing the client how much money they can deposit for the year
  • Clients with multiple accounts have a simplified breakdown for each account on their homepage
  • “snapshots” of each account provide clients with the essential information in a simplified format

For information on helping your client setup for AdvisorClient.com, please contact the client services team at 800-357-4757 or operations@regalfin.com.

Easy Access to Work Item Notes

One of COMET’s new features is easier access to review and add work item notes. With the new update a WI Notes button was added to allow access to notes when first entering the work item. This is found on the left side of the ePACs Work Items box.

Simply click the WI Notes button pictured above and an window will open showing information on the Work Item, as well as all the attached notes with the date they were created.

Selecting the pencil from this window guides you to the advisor notes section located inside the work item to add any additional notes for processing or future reference.

Notes can still be reviewed in the same way as they previously were. This update makes Advisor Notes more accessible for you and the Regal Team.

Upcoming Technology Training

Each month Regal hosts a technology webinar that covers basic navigation and use of Tamarac, COMET, custodial websites and Xtiva. We encourage all new advisors and/or assistants to attend, as well as those that need a quick refresher.

The next webinar is Wednesday, August 14th 2019, at 1:30 PM – 3:30PM EDT.

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