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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 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.

Setting SMS Authentication for TD Ameritrade

To set an SMS authentication for TD Ameritrade:
Expand

December 2020

Initial Version

August 2022

Renamed the guide, converted to new template, simplified the guide, and merged guide with the esign guide.

Setting up SMS Authentication

To set up an SMS authentication complete the following steps.

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

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Launching Starting Point

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Select the existing Rep for new account.

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Selecting the Rep Code

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To create new account, click New Account.

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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.

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Selecting the Client Type

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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

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Select TD Ameritrade Institutional vendor from the list of vendors.

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Selecting TD Ameritrade as the Vendor

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Provide the following information:

  1. State

  2. Product Type

  3. Registration Type

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Completing the Remaining Sections

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

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Work Item Summary

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

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Completing Forms

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Open your work item. In the upper-left panel, click Actions (1) > eSign (2).

Launching eSign for customizing the authentication process

The eSign Transactions page opens.

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In the eSign Transaction panel, click Primary Recipient.

The Primary Recipient page opens.

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Primary Recipient record

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In Primary 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.

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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.

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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.

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Click the Send SMS button.

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Enter the confirmation code that is triggered to your phone and click on Confirm Code to complete the SMS authentication process.

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When you complete the process, the document bundle opens up the DocuSign application. The application prompts the user through the various areas to sign.

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Click on each prompt to have the signature applied to the document.

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Click Finish after signing the documents.

Audience: Field Users

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