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Rw ui steps macro
Rw step

Click the Starting Point link from the New dropdown menu.

Rw step

Click New Account to create a new account. Click Maintenance to update some aspect of an existing account (e.g. change of address, an additional beneficiary, a new dealer, etc.)

Starting_Point_1.png
Rw step

Select New Client, Existing Client, or Multiple Clients. Corresponding scenarios are described further in this chapter.

Starting_Point_2.png
Rw step

Select the clients as described below, then proceed to the next chapter New Account Wizard.

New Client

Select the New Client option, if you are sure that there is no information about this client in the Docupace system yet. This will create a new Client Folder in Docupace.

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Note: All sections and fields marked with a red asterisk ( * ) are mandatory. All other required fields for each Client Type are listed in the table below (refer to the sub-table).

Fill out Client Details, then click Save in the top toolbar:

Fields

Description

Client Type

Select the client type from the following options. Below is a list of fields required when you select a particular type:

Person: Last Name, First Name, TIN/SSN, Rep

Prospect: Last Name, First Name or Company Name, Rep

Business/Entity: Company Name, TIN/SSN, Rep

Trust: Company Name, TIN/SSN, Rep

Client Status

Select a status from the following options:

  • Active Client: If the client is opening new accounts or has existing accounts with your company.

  • Inactive Client: If this is a potential client, that has not opened any accounts yet.

Business Type

Select a business type from one of the following options:

  • Broker-Dealer

  • Non-BD

Rep

Add one or more reps’ to this section. Click on the Add button. A table containing the existing reps’ records appears. Select the corresponding rep(s).

Legal Address

Enter the Client’s legal address.

Mailing Address

Enter the Client’s mailing address.

Government ID

Enter information about a government-issued ID

Employer Information

Enter current employer information.

Linked Clients (Spouse, Authorized Individuals, Trustees)

Use this section to add connected Client Folders. Click on the Add button and select an existing Client Folder or create a new record.

Primary Beneficiaries

Use this section to add the primary beneficiaries of the client.

Contingent Beneficiaries

Use this section to add the secondary beneficiaries.

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