Table of Contents

Change Log:

Date

Changes

December 2020

Provided a comprehensive documentation about TD SMS Authentication.

Audience: Broker Dealers, Docupace Admins, and Financial Professionals.

Functionality: When you create a new account for TD Ameritrade in Docupace, you can modify the authentication process for Clients to use SMS.

Overview of SMS Authentication for TD Ameritrade

TD Ameritrade is one of the larger clearing firms and custodians in the financial services field and, specifically, one of the larger registered Financial Professional custodians.

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_{New Account Opening eSign Workflow}

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

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_{Launching Starting Point}

Select the existing Rep for new account.

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_{Selecting the Rep Code}

To create new account, click New Account.

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_{Selecting the Transaction Type}

Select the type of client.

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_{Selecting the Client Type}

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

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Locating the Existing Client

Select TD Ameritrade Institutional vendor from the list of vendors.

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_{Selecting TD Ameritrade as the Vendor}

Provide the following information:

1. State

2. Product Type

3. Registration Type

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_{Completing the Remaining Sections}

Review the Work Item Summary page (a) and then click Create Work Item (b).

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_{Work Item Summary}

Fill out any required fields (1) and click Save (2).

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_{Completing Forms}

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Image Added Primary Signer record Rw step In Primary SignereSign Recipient Details Recipient, provide the following data: a. From Signer Auth Mode, select SMSOneClick. b. In Phone for Authentication, enter the Client’s phone number. c. To implement the SMS authentication, click Save and Close in the upper-right corner. Tip Tip: This configuration establishes the SMS authentication. Image Removed Image Added Using SMS Authentication As shown in the image below, the first signer in the list is an ‘In–Person’ signer with an SMS authentication set up. Rw ui steps macro Rw step When you click eSign, the system sends the signer an email with a link to the document(s). If the signer is set to In-Person, the system will also open a new window to begin authentication. Image Added Rw step Click the Send SMS button. Image Added Rw step To implement Enter the confirmation code that is triggered to your phone and click on Confirm Code to complete the SMS authentication , click Save and Close in the upper-right corner.Image RemovedSaving the SMS Authentication process. Image Added Rw step When you complete the process, the document bundle opens up the DocuSign application. The application prompts the user through the various areas to sign. Image Added Rw step Click on each prompt to have the signature applied to the document. Rw step Click Finish after signing the documents. Audience: Field Users Filter by label (Content by label) cql label in ( "sms" , "kba" , "sms-authentications" , "knowledge-based_authentication" , "pin" , "pin-authentication" , "authentication" ) General Content Integrations {"serverDuration": 2410, "requestCorrelationId": "412b30325aec466cbbf34229aa85ee85"}