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Overview: The New Account Opening App allows you to quickly create a new account for a specific client. |
Further steps: Once you add initial information for a new account to Docupace, a Work Item with relevant forms is created. Depending on the workflow used in your firm, the Work Item then travels through a review cycle, signing steps and arrives at the Back Office for final processing.
How to Open a New Account
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To create a new account, click Quick Start.
In Quick Start, click New Account Opening.
Complete all fields on the Account Setup tab and click NEXT.
Enter the First Name, Last Name, or SSN and click Search.
The system displays a list of results. You can: A. Select a Client from the results list B. Search Again
On the Final Review tab:
The system creates the Work Item and displays this confirmation screen. Click OPEN WORK ITEM (A).
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The Work item opens showing the pre-filled documents. Resolve all validation issues that the system highlights for you (required fields are marked in red, optional - marked in yellow). Image Added
Click Save (1) and then Send to FP Review (2). The Work Item is sent to the next step in the workflow, which is usually Pending Forms Review. From here you can: A. Open the Work Item B. Start a New Work Item
Image RemovedFP Review, where a Financial Professional approves the documents. Proceed with Approving and Signing Forms. Image Added |
How to Create a New Client
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Start with the steps as described in How to Open a New Account. On the Client Type subtab, select:
Click NEXT.
On the Main Info subtab, fill out the required fields.
Click NEXT. Note: SSN is not required for
On the Government Issued ID subtab fill out the fields (optional) and click NEXT.
On the Legal Address subtab fill out the fields (optional) and click NEXT.
The fields on the Employer Info subtab are optional. Click NEXT to move on to the Final Review tab as described in How to Open a New Account. |
Audience: Users of the RIA Productivity Suite, Service Associates, Financial Professionals
Functionality: The RIA Productivity Suite is a toolkit for Advisory firms to digitize, streamline, and automate operations Quick Start is a page in Docupace that allows you to access many convenient apps. The New Account Opening App allows you to quickly create a new account for a specific client.
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