Shareholder Services

Shareholder Services is responsible for maintaining shareholder records and processing shareholder activity, including purchases, redemptions, exchanges, adjustments, dividends and capital gain distributions. The shareholder service provides fund accounting with information so that share activity and balances, cash movements, and dividend distributions may be recorded and reconciled to the accounting records. Duties include:

Examine, verify and process new account applications
Process shareholder activity including reinvestment of dividends or distributions
Perform backup withholdings in accordance with Federal Regulations
Answer telephone and written inquires from shareholders and financial advisors
Provide remote access inquiry to fund records for shareholders
Maintain shareholder data base
Prepare and mail confirmation statements
Prepare certified list of stockholder for proxy mailing
Ensure compliance with USA Patriot Act and Privacy regulations
On going monitor of lost shareholder , RPO tracking and escheatment processing
Produce and mail tax form for shareholders
Process and service various types of retirement accounts