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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.

Figure 1: Client Search

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titleView Detailed Step-by-Step
1

Click the Tracker-BI link in the top toolbar.

Figure 2: Navigation Link

2

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

Note

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

Figure 2: Navigation Link

3

Click Search.

Figure 3: Client Search Button

4

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

Info

A: Click the client search result that matches your investor. (Skip to step 6)

Info

B: Try your search again. (Repeat steps 2 and 3)

Info

C: Create a new client profile for your investor. (Continue to step 5)

Figure 4: Client Search Results

5

Enter the investor’s information.

Note

Attention: The following fields are required

  • First name

  • Last name

  • Email address

  • Address line 1

  • City

  • State

  • Zip

  • Country

Figure 5: New Client Info page

6

Confirm that the client’s information is correct.

Note: You may modify it if needed.

Figure 6: Client Info Page Filled Out

7

Click Next.

Figure 7: Next Button

Step 2: Provide Discussion Details

Next, you must enter the details related to the conversation that you had with the investor. There are three fields on this page, though only two are required.

Figure 8: Client Disclosure Details ScreemScreen

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titleView Detailed Step-by-Step
1

List the specific recommendation(s) discussed or considered

Figure 9: Recommendations Field

2

Identify if you provided verbal disclosures.

Tip

Tip: If you did not provide verbal disclosures, you can enter N/A in this field.

Note

Attention: This field is required.

Figure 10: Verbal Disclosures Field

3

Provide any additional details about the conversation.

Note

Attention: This field is required.

Figure 11: Additional Details Field

4

Click Next.

Figure 12: Next Button

Step 3: Select the Method of Disclosure Delivery

There are three ways that you can deliver disclosures. The next section contains more information about what happens after you click next.

Figure 13: Delivery Method Selection Screen

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1

Select one of the following delivery methods:

  • Mail

Tip

Tip: Select this method if the investor wants to receive physical disclosures in the mail.

  • Electronically

Tip

Tip: Select this method if the investor wants to receive physical disclosures in the mail.

  • Personally Supplied

Tip

Tip: Select this option if a financial professional either already personally supplied or will personally supply immediately after submitting the disclosures to the investor.

Figure 14: Mail Selected

Figure 15: Electronically Selected

Figure 16: Personally Supplied Selected

2

Click Next.

Figure 17: Next Button

3

Click View or Start New.

Figure 18: Navigational Buttons

Confirmation Screens

Mail

The system displays recipient’s mailing address and a confirmation code that can be used to locate this interaction in the system.

Figure 19: Mail Delivery Confirmation Screen

Electronic

The system displays the email address that will receive the disclosures. It also provides a confirmation number for later reference.

Figure 20: Electronic Delivery Confirmation Screen

Personally Supplied

The system displays both the email address and the mailing address, confirming the recipient’s identity. The confirmation code provided on this screen can be used in the event of an audit.

Figure 21: Personally Supplied Delivery Confirmation Screen