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

Table of Contents

Table of Contents
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Change Log:

Date

Changes

December 2020

Provided comprehensive Comprehensive documentation about TD SMS Authentication.

Audience: Broker-dealers, Docupace Admins, and Investment AdvisorsFinancial Professionals.

Functionality: SMS authentication allows Broker-dealers to launch TD Ameritrade for sending documentation to the TD's Back -office 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 field and, specifically, one of the larger registered Investment Advisor Financial Professional custodians.

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

Tip

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

New Account Opening eSign WorkflowImage Modified

eSign on New Account Opening eSign Workflow

Setting SMS Authentication for TD Ameritrade

To set an SMS authentication for TD Ameritrade:

Rw ui steps macro
Rw step

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

Launching Starting Point

Launching Starting Point

Rw step

Select the existing Rep for a new Accountaccount.

Selecting the Rep CodeImage Modified

Selecting the existing Rep for a new AccountCode

Rw step

To create a new Accountaccount, click New Account.

Selecting the Transaction TypeImage Modified

Creating a new Account

Click

Selecting the Transaction Type

Select the type of client.

Note: You can select any type of client. However, for this example, we will be using an Existing Client.

Selecting the Client TypeImage Modified

Adding an existing client to a new AccountSelecting the Client Type

Rw step

On the Navigation panesearch panel, search the existing folder via for an existing client by Name, TIN/SSN, Rep, Last Name, or other options (1), and then click Search (2).

Looking for the existing folderImage RemovedLocating the Existing ClientImage Added

Looking for the existing folderLocating the Existing Client

Rw step

Select the TD Ameritrade Institutional vendor from the list of vendors.

Selecting TD Ameritrade as the VendorImage Modified

Creating a new Account for Selecting TD Ameritrade Institutionalas the Vendor

Rw step

Provide an the following information for:

  1. State

  2. Product Type

  3. Registration Type

Completing the Remaining SectionsImage Modified

Providing the State, Product Type, and Registration Type informationCompleting the Remaining Sections

Rw step

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

Creating a Work ItemImage RemovedWork Item SummaryImage Added

Creating a Work Item Summary

Rw step

Provide the validation information Fill out any required fields (1) and click Save (2).

Satisfying the validation informationImage RemovedSatisfying the validation information Completing FormsImage Added

Completing Forms

Rw step

In Pending Advisor Review, go to the upper-left panel, click Actions (1) > eSign (2).

The eSign Transactions page appearsopens.

Launching eSignImage RemovedLaunching eSign for customizing the authentication processImage Added

Launching eSign for customizing the authentication process

Rw step

In the eSign Transactions, go to eSign Recipient (1) > Primary Signer (2)Transaction panel, click Primary Signer.

The Primary Signer page opens.

Launching Primary SignerImage RemovedPrimary Signer recordImage Added

Launching Primary Signer record

Rw step

In Primary Signer, provide the following data:

a. From Signer Auth Mode, select SMSOneClick.

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

. 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 ClientImage RemovedCustomizing the SMS authentication for a Client		eSign Recipient DetailsImage Added

eSign Recipient Details

Rw step

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

Saving the SMS AuthenticationImage Modified

Confirming Saving the SMS authentication for TD AmeritradeAuthentication