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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 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.

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
1

Enter details about your discussion with the investor.

Figure 9: Recommendations Field

2

Confirm whether or not you provided verbal disclosures. If so, provide additional details.

Figure 10: Verbal Disclosures Field

3

Provide any additional details about the conversation.

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. View the Process section of this guide Read The Process to learn more 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 hard copies of the disclosures in the mail.

  • Electronically

Tip

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

  • Personally Supplied

Tip

Tip: Select this option if a financial professional either already personally supplied or will personally supply immediately after submitting the disclosures hard copies of the disclosures have been supplied 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 investorrelated information.

Tip

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

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Figure 18: Navigational ButtonsConfirmation

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 The Process section of this guide.

Mail

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

The system creates a task in the mail-out workflow queue.

Tip

Tip: You can click View to see a copy of the disclosures.

Figure 19: Mail Delivery Confirmation Screen

Electronic

The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. It also displays the email address that will receive the disclosures. It also provides a confirmation number for later reference. An

The system sends the investor an email with a hyperlink to the electronic disclosure documents is sent to the specified email address.

Tip

Tip: You can click View to see a copy of the disclosures.

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 a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the event of an audit. If you have not yet provided the investor with the appropriate disclosures, you system. The system displays the investor’s email address and mailing address.

Tip

Tip: You can click View to

open and print

see a copy of the disclosures.

Figure 21: Personally Supplied Delivery Confirmation Screen