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Mercedes Rothwell

Mercedes Rothwell

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Tip: Click the link under each image to view it in more detail.

Step 1: Identify the Investor

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titleView Detailed Step-by-Step

Each discussion tracked using this app MUST be associated with a prospect/client (investor). The first step in the process is to determine if the investor is already in the system or if you need to create a new prospect/client.

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Figure 1: Client Search

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Navigate to Tracker-BI.

Note: You may need to click the Tracker-BI link in the top toolbar.

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Figure 2: Navigation Link

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Enter the investor’s information into the

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Client Search fields.

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Note

Attention: Either

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their Last Name, Entity Name, or SSN is required in order to begin.

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Figure 3: Client Search

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Click Search.

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Figure 4: Client Search Button

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Take one of the following actions based on the results that appear:

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A: Click the client search result that matches your investor. (Skip to step 6)

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B: Try your search again. (Repeat steps 2 and 3)

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C: Create a new prospect profile for your investor. (Continue to step 5)

Note (D): The date displayed here reflects the date when

  • personally supplied disclosures are handed to the client

  • a client clicks the link to view electronically supplied disclosures

  • the disclosures are marked sent in the Pending Mail Delivery Queue

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Figure 5: Client Search Results

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Enter the investor’s information.

Note: The following fields are required

  • First name

  • Last name

  • Email address

  • Address line 1

  • City

  • State

  • Zip

  • Country

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Confirm the client’s information is correct.

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Click Next.

Step 2: Provide Discussion Details

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List the specific recommendation(s) discussed or considered

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Identify if you provided verbal disclosures.

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Attention: If you did provide verbal disclosures, describe the conversation.

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Tip: If you did not provide verbal disclosures, you can enter N/A in this field.

Warning

Client Type: If you select Prospect as the client type, the SSN field is not required. However, prospects need to be manually converted to clients in order to complete additional transitions. See Updating a Prospect to a Client for more information.

Note: The Rep code field does not display for users with only one rep code.

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Attention: If you choose to send records by mail or email, the address will become required at a later stage.

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Figure 6: New Client Info page

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Confirm that the client’s information is correct.

Note: You may modify it if needed. Any modifications to an existing client will update the client’s information in the Client Folder. However, you cannot edit the name and SSN fields.

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Figure 7: Client Info Page Filled Out

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Click Next.

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Figure 8: Next Button

Step 2: Provide Discussion Details

Next, enter the details related to the conversation that you had with the investor. Answering these questions is optional.

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Attention: Your specific configuration may differ from the images shown here.

Note: This page may be bypassed depending on your firm’s configuration.

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Figure 9: Client Disclosure Details Screen Showing Required Fields

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Enter details about your discussion with the investor.

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Figure 10: Recommendations Field

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Confirm whether or not you provided verbal disclosures. If so, provide additional details.

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Figure 11: Verbal Disclosures Field

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Provide any additional details about the conversation.

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Figure 12: Additional Details Field

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Click Next.

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Figure 13: Next Button

Step 3: Select the Method of Disclosure Delivery

There are three ways that you can deliver disclosures. Read The Process to learn more about what happens after you click Next.

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Figure 14: Delivery Method Selection Screen

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Select one of the following delivery methods:

  • Mail

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Tip: Select this method if the investor wants to receive hard copies of the disclosures in the mail.

  • Electronically

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Tip: Select this method if the investor wants to receive disclosures via email.

  • Personally Supplied

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Tip: Select this option if hard copies of the disclosures have been supplied to the investor.

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Figure 15: Mail Selected

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Figure 16: Electronically Selected

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Figure 17: Personally Supplied Selected

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Fill in any missing information as needed.

Note: You can also update the date for personal delivery.

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Figure 18: Personally Supplied Date

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Figure 19: Delivery by Mail (Required Information)

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Figure 20: Delivery by Email (Required Information)

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Click Next.

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Figure 21: Next Button

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Note: The system displays a confirmation screen that varies depending on the selected method of delivery.

Click View or Start New.

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View: Click View to open the disclosures and related information.

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Start New: Click Start New to begin the process again with a new investor

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Figure 22: Confirmation

Confirmation Screens by Delivery Method

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More Information: You can learn more about what happens once you arrive on one of the pages below in The Process section of this guide.

Mail

The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. The recipient’s mailing address appears below the confirmation message.

The system creates a task in the Pending Client Mail Delivery queue.

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Tip: You can click View to see a copy of the disclosures.

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Figure 23: Mail Delivery Confirmation Screen

Electronic

The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. It also displays the email address that will receive the disclosures.

The system sends the investor an email with a hyperlink to the electronic disclosure documents.

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Tip: You can click View to see a copy of the disclosures.

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Figure 24: Electronic Delivery Confirmation Screen

Personally Supplied

The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. The system displays the investor’s email address and mailing address.

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Tip: You can click View to see a copy of the disclosures.

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Figure 25: Personally Supplied Delivery Confirmation Screen