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Click on Images to Expand Them

Tip

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

Step 1: Identify the Investor

Each discussion tracked using this widget 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 Client Search fields.

Note

Attention: Either their

last name

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)

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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.

Warning

Client Type:

New investor records created with Tracker-BI are added to the system as prospects. You will need to convert them to clients to complete additional transactions

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.

Note

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.

Note

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

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

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.

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

Tip

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.

Tip

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

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.

Tip

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

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.

Tip

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

Figure 25: Personally Supplied Delivery Confirmation Screen