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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 comprehensive documentation about TD SMS Authentication.

Audience: Broker-dealers, Docupace Admins, and Investment Advisors.

Functionality: SMS authentication allows Broker-dealers to launch TD Ameritrade for sending documentation to the TD's Back-office processing team.

Overview of SMS Authentication for TD Ameritrade

TD Ameritrade is one of the larger clearing firms and custodians in the financial services space and, specifically, one of the larger registered Investment Advisor custodians.

When you create a new Account for TD Ameritrade in Docupace, you can modify the authentication process.

Tip

Tip: TD Ameritrade requires a knowledge-based authentication via SMS.

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eSign on New Account Opening

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.

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Select the TD Ameritrade Institutional vendor.

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Creating a new Account for TD Ameritrade Institutional

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Select the preferred State.

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Selecting a State for a new Account

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Select the Advisory product type.

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Selecting a product type

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Select the preferred type of registration.

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Selecting a registration type for a new Account

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Review a new Account summary (1) and then click Create Work Item (2).

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Creating a Work Item

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Satisfy the validation information (1) and click Save (2).

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Satisfying the validation information

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In Pending Advisor Review, go to

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 a new Account.

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Selecting the existing Rep for a new Account

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To create a new Account, click New Account.

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Creating a new Account

Click Existing Client.

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Adding an existing client to a new Account

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On the Navigation pane, search the existing folder via Name, TIN/SSN, Rep, Last Name, or other options (1), and then click Search (2).

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Looking for the existing folder

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

The eSign Transactions page

appearsLaunching eSign

opens.

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Launching eSign for customizing the authentication processImage Added

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In the eSign

Transactions, go to eSign Recipient (1) > Primary Signer (2).The Primary Signer Launching Primary Signer

Transaction panel, click Primary Recipient. The Primary Recipient page opens.

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In Primary

Signer

Recipient, provide the following data:

a. From Signer Auth Mode, select SMSOneClick.

b. In Phone for Authentication, enter the Client’s phone number.

In the upper-right corner

c. To implement the SMS authentication, click Save and Close in the upper-right corner.

Tip

Tip: This configuration establishes the

knowledge-based authentication via SMS for TD Ameritrade.Image Removed

Customizing the SMS authentication for a Client

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To confirm the SMS authentication for TD Ameritrade, in the upper-right corner, click Save and Close.

Image RemovedConfirming the SMS authentication for TD Ameritrade

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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