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How to Use Starting Point

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title	Introduction

You can use Starting Point to put together the forms you need for opening new accounts and maintenance activities. ETI Quik Forms (partnering with Docupace) handles the form management. This guide describes how, as a rep, you can launch Starting Point.

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Open New Accounts

Click on images to expand them.

Using Starting Point, you can create accounts for new or existing clients.

Step 1: To launch the Starting Point, click the Starting Point link from the New dropdown menu.

_{Figure 1: Starting Point –Launching from Smart Office}

Step 2: Click on the New Account icon.

_{Figure 2: Creating New Accounts}

Step 3: After selecting the New Account icon, the window shown in Figure 3 appears. Based on your requirements, select New Client, Existing Client, or Multiple Clients.

_{Figure 3: Opening accounts for new or existing clients}

New Clients

_{Figure 4: New Clients form}

When you select New Client the following window appears.There are different sections in the form: Details, Spouse, Rep, Primary Beneficiaries, and Contingent Beneficiaries. The links on the left side of the dashboard, you can quickly navigate to the respective section in the form.

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title	Note

The section’s cardinality (the number of records present in the section) appears next to these links once you add records to the respective sections.

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title	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).

Fields

Description

Details

Use this section to provide basic details about the client

Client Type

Select the client type from the following options:

Person
Beneficiary
Business/Entity
Other
Prospect
Trust

The following sub-table provides the list of fields required to be filled in when you select a particular type:

Type	Required Fields
Person	Last Name, First Name, TIN/SSN, Rep
Beneficiary	Rep
Prospect	Company Name, TIN/SSN, Rep
Business/Entity	Company Name, TIN/SSN, Rep
Trust	Company Name, TIN/SSN, Rep

Client Status

Select a status from the following options:

Status	Required Fields
Active Client	If the new client is an active one, select this option.
Inactive Client	If the status of the new client is currently inactive, select this option.
Prospect	If you want to send the client status as a potential client, select this option.

Business Type

Select a business type from one of the following options:

Broker Dealer
Unaffiliated
Non BD
Type
Independent RIA
INS

Spouse

Use this section to add a spouse’s details. Click on the Add button and select Client Folder. A table displaying the existing client records appears. Select the spouse’s record, if present

Select Button

Click on the checkbox next to the record you want to select, and then click the Select button.

This button is activated only if you select at least one record.
When you click this button, the New Client Form appears again. The Spouse section displays the selected record.
You can add only one record to the Spouse section. When you select more than one record, the system uses the last selected record to populate this section.

Create New Button

Click this button to enter a new record into the system. A new client form appears.

Cancel Button

To cancel one or more selections, click this button. The checkboxes are reset.

Rep

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

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title	Tip

For more information on how to add records, refer to the Spouse section

Primary Beneficiaries

Use this section to add the primary beneficiaries of the client. Click on the Add icon to add the details.

Details section

In the Relationship field, select the beneficiaries’ relationship with the client.

Secondary Client

Use this section to add a secondary client.

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For more information on how to add records, refer to the Spouse section.

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After adding the secondary client, click Save on the top-right corner. You are routed back to the main form. The Primary Beneficiaries section displays the list of the added beneficiaries

Secondary Beneficiaries

Use this section to add the secondary beneficiaries.

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title	Tip

For more information on how to add beneficiaries, refer to the previous section.

Form Submission

To take an action on the client form, refer to the following table.

Click the...	To...
Save Button	Save the changes and submit the form.
Cancel Button	To close the form without saving changes

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title	Tip

When you save the form, Docupace presents the user with a series of Account Wizard steps.

Existing Clients

When you select Existing Client, the following screen appears. You can narrow down the results by using the search filters on the left side of the page.

Step 1: Click on the icon next to a parameter to select a filter condition.

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In Figure 5, the "begins with" filter condition on the last name (‘Kra’) results in two records.

Step 2: To choose a client account, click on its record row.

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title	Tip

When you select an account, Docupace presents you with a series of Account Wizard steps.

_{Figure 5: Searching for Existing Clients}

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Account Wizard

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_{Figure 6: Selecting the Vendor}

Step 1: Select the vendor you would like to use.

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title	Tip

Vendor refers to the financial institution where your account is held.

_{Figure 7: Selecting the State}

Step 2: Select a state from the dropdown list.

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You may also select No State Required.

_{Figure 8: Selecting a New Registration Type}

Step 3: Select a registration type from the dropdown list.

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You can view the selections you have made so far under the History section.

_{Figure 9: Selecting the Account Services}

Step 4: Select an account service from the dropdown list. Otherwise, select No Account Service Required.

_{Figure 10: Selecting the Account Option}

Step 5: Select an account option from the dropdown list.

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To skip this step, click on Next or Select None.

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Reviewing and Creating Work Items

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After completing the Account Wizard steps, a summary screen opens. Review all the details entered for accuracy. Based on the answers provided in the Account Wizard, the system presents the user with all the appropriate forms. You can add any additional forms available to the required set of forms.

Add Forms: To add additional forms, click Add Forms in the Required Forms section. Select one or more forms from the library.

Move Forms: To move forms from the Optional Forms section into the Required Forms section, click on the Add button.

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title	Tip

Alternatively, click Remove to move the forms back to the Optional Forms section.

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title	Tip

A history of the answers you chose is included on the right hand side; you can click any of those items to go back and change your answers in the wizard if necessary.

Step 3: After reviewing all the details, click on the Create Work Item button.

_{Figure 11: Creating Work Items}

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Versions Compared

Old Version 10

New Version 11

Key

Open New Accounts

New Clients

Form Submission

Existing Clients

Account Wizard

Reviewing and Creating Work Items

Page Comparison

Versions Compared

Old Version 10

New Version 11

Key

Open New Accounts

New Clients

Form Submission

Existing Clients

Account Wizard

Reviewing and Creating Work Items