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Mercedes Rothwell

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Step 1: Identify the Investor

Each discussion tracked using this widget MUST be associated with a prospect/client (investor). The first step in the process is to determine if the investor is already in the system or if you need to create a new prospect/client.

Figure 1: Client Search

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titleView Detailed Step-by-Step
1

Navigate to Tracker-BI.

Note: You may need to click the Tracker-BI link in the top toolbar.

Figure 2: Navigation Link

2

Enter the investor’s information into the client search 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. Any modifications to an existing client will update the client’s information in the Client Folder. However, you cannot edit the name and SSN fields.

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

Note

Attention: Your specific configuration may differ from the images shown here.

Figure 8: Client Disclosure Details Screen

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titleView Detailed Step-by-Step
Attention: This field is required

.

1

List the specific recommendation(s) discussed or consideredEnter details about your discussion with the investor.

Figure 9: Recommendations Field

2

Identify if Confirm whether or not you provided verbal disclosures.

Tip

Tip: If you did not provide verbal disclosures, enter “No” in this field.

Note

Attention: This field is required.

If so, provide additional details.

Figure 10: Verbal Disclosures Field

3

Provide any additional details about the conversation.

Note

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 View the Process section of this guide to learn more about what happens after you click nextNext.

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

Note: The system displays a confirmation screen that varies depending on the selected method of delivery.

Click View or Start New.

Tip

View: Click View to open the disclosures and any tasks associated with the investor

Tip

Start New: Click Start New to begin the process again with a new investor.

Figure 18: Navigational Buttons

Confirmation Screens by Delivery Method

Info

More Information: You can learn more about what happens once you arrive on one of the pages below in the Process section of this guide.

Mail

The system displays the recipient’s mailing address and a confirmation code that can be used to locate this interaction in the system. It then creates a task for a financial professional to send by physical mail.

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. An email with a hyperlink to electronic disclosure documents is sent to the specified email address.

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. If you have not yet provided the investor with the appropriate disclosures, you can click View to open and print the disclosures.

Figure 21: Personally Supplied Delivery Confirmation Screen