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Title

Intro

Docupace uses Starting  Point-anIntegrated Forms Engine-to perform universal formsprocessingfor:1.Opening new accounts2.Maintenance activities

ETI Quik Forms(partnering with Docupace)handles the form management. This guide describes how, as a rep,you can launch Starting  Point.


Table


Launching Starting Point to open new accounts


Using Starting Point, you can create accounts for new or existing clients. Tolaunch the Starting Point, click the Starting Pointlink from the Newdropdown menu.


Figure 1: Starting Point –Launching from Smart Office


The following prompt appears.Click on the New Account icon.


Figure 2: Creating New Accounts


After  selecting  the New  Account  icon, the  following  window  appears.Based  on  your  requirements, select New Client, Existing Client or Multiple Clients.


Figure3: Opening accounts for new or existing clients


Opening Accounts for New Clients



Figure 4: New Clients form

On selectingNew  Clientthe  following window  appears.There  are differentsections  in  the  form–Details,Spouse, Rep, Primary Beneficiariesand Contingent Beneficiaries.


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.

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

By  clicking  on  the  links  present  on  the  left  side  of  the  dashboard,  you  can  quickly  navigate  to therespectivesection in the form.





FieldsDescription
DetailsUse 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 on selecting a particular type:

TypeRequired Fields
PersonLast Name, First Name, TIN/SSN, Rep
BeneficiaryRep
ProspectCompany Name, TIN/SSN, Rep
Business/EntityCompany Name, TIN/SSN, Rep
TrustCompany Name, TIN/SSN, Rep


Client Status

Select a client type from the following options:

  • 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
SpouseUse 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 this button.

This button is activated only if you select at leastone record.

On clicking this button, the New ClientForm appears again. The Spousesection displays the selected record.

You can add only one record to the Spouse section. On selecting more than one record, the system uses the last selected record to populate this section.

Create New ButtonClick this button to enter a newrecord into the system.A new client form appears.
Cancel ButtonTo 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).

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

Primary BeneficiariesUse this section to add the primary beneficiaries of the client. Click on the Add icon to add the details.
Details sectionIn the Relationshipfield, select the beneficiaries’ relationship with the client.
Secondary Client

Use this section to add a secondary client.

For more information on how to add records, refer to the Spousesection.

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

SecondaryBeneficiariesUse this section to add thesecondary beneficiaries. 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 ButtonSave the changes and submit the form.
Cancel ButtonTo close the form without saving changes