Mercedes Rothwell
May 08, 2020
Enter the investor’s information into the client search fields.
Note: Either last or SSN is required in order to begin.
Click Search.
Enter the investor’s information.
Note: The following fields are required
First name
Last name
Email address
Address line 1
City
State
Zip
Country
Confirm the client’s information is correct.
Click Next.
List the specific recommendation(s) discussed or considered
Identify if you provided verbal disclosures.
Attention: If you did provide verbal disclosures, describe the conversation.
Tip: If you did not provide verbal disclosures, you can enter N/A in this field.
