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Introduction: This guide provides information about customizing SMS authentication for TD Ameritrade.

Table of Contents

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Change Log:

Date

Changes

December 2020

Provided comprehensive documentation about TD SMS Authentication.

Audience: Broker-dealers, Docupace Admins, and Investment Advisors.

Functionality: SMS authentication allows Broker-dealers to launch TD Ameritrade for sending documentation to the TD's Back-office processing team.

Overview of SMS Authentication for TD Ameritrade

TD Ameritrade is one of the larger clearing firms and custodians in the financial services space and, specifically, one of the larger registered investment advisor (RIA) Investment Advisor custodians.

When you create a new Account for TD Ameritrade in Docupace, you can modify the authentication process.

Tip

Tip: TD Ameritrade requires a knowledge-based authentication via SMS.

eSign on New Account Opening

Setting SMS Authentication for TD Ameritrade

To set an SMS authentication for TD Ameritrade:

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In Docupace, go to New >(1) Starting Point (2).

Launching Starting Point

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Select the existing Rep for a new Account.

Selecting the existing Rep for a new Account

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To create a new Account, click New Account.

Creating a new Account

Click Existing Client.

Adding an existing client to a new Account

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On the Navigation pane, search the existing folder via Name, TIN/SSN, Rep, Last Name, or other options (1), and then click Search (2).

Looking for the existing folder

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Select the TD Ameritrade Institutional vendor.

Creating a new Account for TD Ameritrade Institutional

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Select the preferred State.

Selecting a State for a new Account

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Select the Advisory product type.

Selecting a product type

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Select the preferred type of registration.

Selecting a registration type for a new Account

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Review a new Account summary (1) and then click Create Work Item (2).

Creating a Work Item

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Satisfy the validation information (1) and click Save (2).

Satisfying the validation information

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In Pending Advisor Review, go to Actions (1) > eSign (2).

The eSign Transactions page appears.

Launching eSign

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In eSign Transactions, go to eSign Recipient (1) > Primary Signer (2).

The Primary Signer page opens.

Launching Primary Signer

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In Primary Signer, provide the following data:

  1. From Signer Auth Mode, select SMSOneClick.

  2. In Phone for Authentication, enter the Client’s phone number.

  3. In the upper-right corner, click Save and Close.

Tip

Tip: This configuration establishes the knowledge-based authentication via SMS for TD Ameritrade.

Customizing the SMS authentication for a Client

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To confirm the SMS authentication for TD Ameritrade, in the upper-right corner, click Save and Close.

Confirming the SMS authentication for TD Ameritrade