Versions Compared

Version Old Version 4 New Version Current
Changes made by

Mercedes Rothwell

Mercedes Rothwell

Saved on

Key

  • This line was added.
  • This line was removed.
  • Formatting was changed.

...

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

...

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.

Image Added

Figure 1: Client Search

Rw ui steps macro
Rw step

Navigate to Tracker-BI.

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

Image Added

Figure 2: Navigation Link

Rw step

Enter the investor’s information into the

...

Client Search fields.

...

Note

Attention: Either

...

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

...

Click Search.

...

Image Added

Figure 3: Client Search

Rw step

Click Search.

Image Added

Figure 4: Client Search Button

Rw step

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

Info

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

Info

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

Info

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

Image Added

Figure 5: Client Search Results

Rw step

Enter the investor’s information.

Warning

Note: The following fields are required

  • First name

  • Last name

  • Email address

  • Address line 1

  • City

  • State

  • Zip

  • Country

...

Confirm the client’s information is correct.

...

Click Next.

Step 2: Provide Discussion Details

...

titleView Detailed Step-by-Step

...

List the specific recommendation(s) discussed or considered

...

Identify if you provided verbal disclosures.

Note

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

Tip

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

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.

Note

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

Image Added

Figure 6: New Client Info page

Rw step

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.

Image Added

Figure 7: Client Info Page Filled Out

Rw step

Click Next.

Image Added

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.

Image Added

Figure 9: Client Disclosure Details Screen Showing Required Fields

Rw ui steps macro
Rw step

Enter details about your discussion with the investor.

Image Added

Figure 10: Recommendations Field

Rw step

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

Image Added

Figure 11: Verbal Disclosures Field

Rw step

Provide any additional details about the conversation.

...

Image Added

Figure 12: Additional Details Field

Rw step

Click Next.

Image Added

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.

Image Added

Figure 14: Delivery

...

Electronic

...

Method Selection Screen

Rw ui steps macro
Rw step

Select one of the following delivery methods:

  • Mail

The system will provide a confirmation screen with the address that will be used to send disclosures. It will also provide a confirmation number.

Tip

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

  • Electronically

Tip

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

...

via email.

  • Personally Supplied

Tip

Tip: Select this option if

...

Mail confirmation Screen

...

Personally Supplied Confirmation Screen

...

hard copies of the disclosures have been supplied to the investor.

Image Added

Figure 15: Mail Selected

Image Added

Figure 16: Electronically Selected

Image Added

Figure 17: Personally Supplied Selected

Rw step

Fill in any missing information as needed.

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

Image Added

Figure 18: Personally Supplied Date

Image Added

Figure 19: Delivery by Mail (Required Information)

Image Added

Figure 20: Delivery by Email (Required Information)

Rw step

Click Next.

Image Added

Figure 21: Next Button

Rw step

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

Click View or Start New.

Tip

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

Tip

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

Image Added

Figure 22: Confirmation

Confirmation Screens by Delivery Method

Info

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.

Image Added

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.

Image Added

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.

Image Added

Figure 25: Personally Supplied Delivery Confirmation Screen