Overview: The New Account Opening App allows you to quickly create a new account for a specific client.

To create a new account, click Quick Start.

In Quick Start, click New Account Opening.

Complete all fields on the Account Setup tab and click NEXT.

1. Firm

2. Rep

3. Vendor

4. Product Type

5. Registration Type

6. Account Options

Enter the First Name, Last Name, or SSN and click Search.

The system displays a list of results. You can:

A. Select a Client from the results list

B. Search Again

C. Create a New Client

On the Final Review tab:

1. Click and drag the Lines icon (1) to reorder the primary and additional account holders.

2. Click the Trash icon (2) to delete the primary or additional account holder.

3. Review your selections (3).

4. Click Create Work Item (4).

The system creates the Work Item and displays this confirmation screen. Click OPEN WORK ITEM (A).

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The Work item opens showing the pre-filled documents. Resolve all validation issues that the system highlights for you (required fields are marked in red, optional - marked in yellow).

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Rw step

Click Save (1) and then Send to FP Review (2).

The Work Item is sent to the next step in the workflow, which is usually Pending Forms Review.

From here you can:

A. Open the Work Item

B. Start a New Work Item

Tip
Tip: You can write down the Work Item number for later reference.

Image RemovedFP Review, where a Financial Professional approves the documents. Proceed with Approving and Signing Forms.

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Start with the steps as described in How to Open a New Account.

On the Client Type subtab, select:

1. Entity, Person, Prospect, or Trust.

2. Client Status (Active, Inactive, or Prospect).

3. Business Type (Non-RIAor RIA).

Click NEXT.

On the Main Info subtab, fill out the required fields.

• First Name

• Last Name

• Social Security #

Click NEXT.

Rw step

On the Government Issued ID subtab fill out the fields (optional) and click NEXT.

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On the Legal Address subtab fill out the fields (optional) and click NEXT.

Tip
Tip: Selecting Yes under Use the legal address for mailing address will autofill the Mailing Address fields.

Rw step

The fields on the Employer Info subtab are optional. Click NEXT to move on to the Final Review tab as described in How to Open a New Account.