Enter the investor’s information into the client search fields.
Note: Either last or SSN is required in order to begin.
2
Click Search.
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3
Enter the investor’s information.
Note: The following fields are required
First name
Last name
Email address
Address line 1
City
State
Zip
Country
4
Confirm the client’s information is correct.
5
Click Next.
Step 2: Provide Discussion Details
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1
List the specific recommendation(s) discussed or considered
2
Identify if you provided verbal disclosures.
Note
Attention: If you did provide verbal disclosures, describe the conversation.
Tip
Tip: If you did not provide verbal disclosures, you can enter N/A in this field.
3
Provide any additional details about the conversation.
4
Click Next
Step 3: Select the Method of Disclosure Delivery
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1
Select one of the following delivery methods:
Mail
The system will provide a confirmation screen with the address that will be used to send disclosures. It will also provide a confirmation number.
Electronic
Select this option if the investor wants to receive disclosures electronically. The system will capture their permission to provide these disclosures using this method.
Personally Supplied
Select this option if a financial professional personally supplied disclosures to the investor. A screen will appear with a confirmation code that can be used in the event of an audit.
