BULLETIN BOARD
E-MAIL
Generally speaking, Commonwealth staff e-mail addresses are as follows:
[first initial][last name]@commonwealth.com
For example, Kol Birke’s e-mail address is:
Directory
Account Services, x9992
Cashiering
Responsible for all checks and securities deposited into NFS accounts, check and
fed wire disbursements (excluding NFS retirement accounts), journals between
NFS accounts, write-offs, and SSRs.
Data Integrity
Maintains data utilized in many areas of Client360°,® creates and distributes PPS
quarterly statements, and maintains Commonwealth’s proprietary performance
reporting application.
Direct Investments
Responsible for the suitability review and approval of all directly held accounts
and brokerage business.
New Accounts
In addition to opening new accounts, responsible for adding and removing
special account features and backing up the Service Center phone queue.
Retirement Operations
Responsible for processing of retirement distributions according to IRS
regulations. Processes one-time and periodic distribution requests for all
NFS prototype, Delaware Charter 403(b), and Pershing accounts.
Service Center
Go-to call center for account services issues, including PPS Custom, transfers of
assets, new accounts, retirement, cashiering, trading, and direct investments.
Transfer of Assets
Processes and tracks all incoming and outgoing transfers at Commonwealth.
Trade Desk, x9991
Executes all securities transactions within clients’ brokerage accounts; also
facilitates other investment transactions and answers market-related questions
from the field.
Compensation, x9990
Ensures that affiliated advisors get paid for their securities and insurance business.
Advisory Services
Advisory Fees, x9424, option 2
Calculates PPS quarterly and prorated management fees, one-time development
fees, and closed and house account rebates. Also processes Wealth Management
Consulting business and the collection of advisory fees for advisors running
their own asset management programs at Commonwealth.
PPS Direct Operations, x9424, option 3
Involved in the day-to-day running of the PPS Direct and Select platforms,
including opening accounts and handling service requests.
Conferences and Events, x9463
Oversees the million and one details necessary to successfully host exclusive
events for our advisors, as well as company-wide events for home office staff.
Marketing and PR
Advisor Marketing, x9236
Works directly with advisors and Commonwealth’s product and service areas
to create customized marketing material for clients and educational material
for advisors.
Corporate Marketing, x9363
As chief steward of the Commonwealth brand, promotes Commonwealth as
“the premier provider of high-end services to high-end advisors.”
Public Relations, x9584
Creates consistent, positive media coverage of Commonwealth that reflects
our brand and enhances our recruiting efforts.
Compliance, x9603
Provides ongoing training, guidance, and support to all advisors and their
staff, as well as internal departments, to help ensure ongoing compliance
with industry requirements and best practices.
Legal, x9323
Fields inquiries from Commonwealth advisors and employees on a wide variety of
legal issues, manages outside counsel, and processes any matter of a legal nature.
Licensing, x9994
Maintains the securities registration and insurance licensing information for
advisors and home office staff.
Practice Management, x9330
Consults with advisors on matters important to running a business, including
business planning and goal setting, operational efficiency, succession planning,
production growth, and more.
Reception, x9494
Friendly front-desk associates stand ready to direct your call to the most
appropriate person.
Recruiting and Transition
Recruiting, x9195
Shares the Commonwealth story with prospective advisors through phone
calls, e-mails, local office visits, and home office visits and works to determine
whether there is a mutually good fit.
Transition, x9113
Primary contacts for transitioning advisors during their first few months
at Commonwealth, helping them acclimate to the firm, especially on the
operations side of the business.
Technology HelpDesk, x9995
First line of support for technical issues advisors might be having with
Commonwealth-related technology products. Also provides technical support
and consultation on general technology issues. Open Monday through Friday,
8:00
a
.
m
.–10:00
p
.
m
. ET, and Saturday, 9:00
a
.
m
.–5:00
p
.
m
. ET.
Wealth Management
Advanced Planning, x9415, option 6
Researches technical issues, assists in advanced case design, and coordinates
the expertise of home office specialists to solve clients’ planning problems.
Annuity Research, x9415, option 2
Works with variable, traditional fixed, and equity-indexed annuities and assists
advisors with case planning, product inquiries, and sales ideas.
Insurance: Consultants/Case Design, x9914
Designs solutions using insurer-specific software and own industry knowledge,
prequalifying clients’ medical histories along the way and helping to design
proposals specific to each client.
Insurance: Operations/Case Managers, x9915
Guides insurance applications through the entire underwriting process.
Investment Consulting Services, x9415, option 1
Assists advisors on a wide array of products and platforms in the wealth
management arena, including the PPS platform.
Investment Research, x9415, option 4
Provides expertise and advice on a variety of investment products and subjects,
helping advisors satisfy their clients’ diverse needs.
Retirement Consulting Services, x9415, option 5
Supports your retirement business by providing access to the best products,
resources, and expertise.
West Coast Operations
Departments in our San Diego office include Cashiering, Compliance, Direct
Investments, New Accounts, PPS, Recruiting and Transition, Retirement, the
Service Center, the Technology HelpDesk, TOA, and the Trade Desk. Each one
mirrors many of the same workflows and functions as at the Waltham home
office. Open Monday through Thursday, 8:00
a
.
m
.–5:00
p
.
m
. PT, and Friday,
8:00
a
.
m
.–4:30
p
.
m
. PT.
Call Us Direct:
800.251.0080
(Waltham)
877.347.1983
(San Diego)
