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Mercedes Rothwell

Mercedes Rothwell

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Step 1: Identify the Investor

Disclosures are stored in a special client subfolder, so each discussion tracked using this widget MUST be associated with a client. The first step in the process is to determine if the investor is already in the system.

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Figure 1: Client Search

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titleView Detailed Step-by-Step
1

Click the Tracker-BI link in the top toolbar.

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Figure 2: Navigation Link

2

Enter the investor’s information into the client search fields.

Note: Either their last name or SSN is required in order to begin.

...

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3

Click Search

...

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4

Take one of the following actions based on the results that appear:

A:

Click the client search result that matches your investor.

B:

Try your search again.

C:

Create a new client profile for your investor.

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5

Enter the investor’s information.

Note: The following fields are required

  • First name

  • Last name

  • Email address

  • Address line 1

  • City

  • State

  • Zip

  • Country

...

6

Confirm the client’s information is correct.

...

7

Click Next.

Step 2: Provide Discussion Details

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titleView Detailed Step-by-Step
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.

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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.

Mail confirmation Screen

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Personally Supplied Confirmation Screen

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Click view or start new.