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Introduction: This page describes how, as a rep, you can open new accounts through the Docupace Starting Point. |
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You can create new accounts by following the steps below:
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Click the Starting Point link from the New dropdown menu. |
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Click |
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New Account |
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to create a new account. |
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Select New Client, Existing Client, |
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or Multiple Clients. Corresponding scenarios are described further on this page. |
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New Clients
When you select New Client the following window appears. There are different sections in the form: Details, Spouse, Rep, Primary Beneficiaries, and Contingent Beneficiaries. The links on the left side of the dashboard, you can quickly navigate to the respective section in the form.
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Once you have selected your clients, proceed with Selecting New Account Options as described further on this page. |
New Client
Select the New Client option if you are sure there is no information about this client in the Docupace system yet. This will create a new Client Folder in Docupace.
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Note: The list of fields and sections will depend on your Docupace site configuration and may differ from this screenshot. |
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Note: It is mandatory to select a Rep for the Client, however, in most cases the system will automatically select the Rep that is assigned to your user profile. |
Note: All sections and fields marked with a red asterisk ( * ) are mandatory. All other required fields for each Client Type are listed in the table below
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Fill out Client Details, then click Save in the top toolbar:
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Details
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Client Type | Select the client type from the |
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dropdown. Below is a list of fields required |
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when you select a particular type:
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Beneficiary
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Other
Client Status | Select a status from the following options:
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Business Type | Select a business type from one of the following options:
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Unaffiliated
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Type
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Independent RIA
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INS
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Spouse
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Rep | Add one or more reps’ to this section. Click on the |
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Add button. A table |
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containing the existing |
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reps’ records appears. Select the |
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Select Button
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Click on the checkbox next to the record you want to select, and then click the Select button.
This button is activated only if you select at least one record.
When you click this button, the New Client Form appears again. The Spouse section displays the selected record.
You can add only one record to the Spouse section. When you select more than one record, the system uses the last selected record to populate this section.
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Create New Button
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Click this button to enter a new record into the system. A new client form appears.
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Cancel Button
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To cancel one or more selections, click this button. The checkboxes are reset.
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Rep
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Use this section to add one or more reps’ information. Click on the Add button. A table containing the existing reps’ records appears. Select the required rep(s).
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Tip: For more information on how to add records, refer to the Spouse section. |
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Primary Beneficiaries
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Use this section to add the primary beneficiaries of the client. Click on the Add icon to add the details.
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Details section
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In the Relationship field, select the beneficiaries’ relationship with the client.
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Secondary Client
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Use this section to add a secondary client.
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Tip: For more information on how to add records, refer to the Spouse section. |
Note: After adding the secondary client, click Save on the top-right corner. You are routed back to the main form. The Primary Beneficiaries section displays the list of the added beneficiaries.
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Secondary Beneficiaries
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Use this section to add the secondary beneficiaries.
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Tips: For more information on how to add beneficiaries, refer to the previous section. |
Form Submission
To take an action on the client form, refer to the following table.
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Click The…
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To…
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Save Button
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Save the changes and submit the form.
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Cancel Button
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To close the form without saving changes
Existing Clients
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corresponding rep(s). | |
Legal Address | Enter the Client’s legal address. |
Mailing Address | Enter the Client’s mailing address. |
Government ID | Enter the Client’s government-issued ID number. |
Employer Information | Enter current employer information. |
Linked Clients (Spouse, Authorized Individuals, Trustees) | Add connected Client Folders. Click on the Add button and select an existing Client Folder or create a new record. |
Primary Beneficiaries | Add the primary beneficiaries of the client. |
Contingent Beneficiaries | Add the secondary beneficiaries. |
Existing Client
Select Existing Client to search for a Client Folder already created in Docupace. You can narrow down the results by using the search filters on the left side of the page.
Find the Client and click on the corresponding record in the list.
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Multiple Clients
Select Multiple Clients if the account will have several owners. You will be able to either select existing clients or create new ones.
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Click the New Clientbutton, if you are sure there is no information about this client in the Docupace system yet. This will create a new Client Folder in Docupace.
Click Existing Client to search for a Client Folder already created in Docupace. You can narrow down the results by using the search filters on the left side of the page
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Steps
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Pictures
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Click on the icon next to a parameter to select a filter condition.
Note: In Figure 5, the "begins with" filter condition on the last name (‘Kra’) results in two records.
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To choose a client account, click on its record row.
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. Select checkboxes next to corresponding client records and click Select.
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The system lists the new account owners. You can add more owners if necessary. Click Complete to complete this step.
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Selecting New Account Options
When the clients for the account are selected, choose the various options associated with the account. Previous selections appear in the right-side pane of the wizard.
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Note. The list of available options will depend on your Docupace site configuration and will differ from the screenshots. |
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Select the Vendor for the account. Note: Here, the Vendor refers to the financial institution where the account will be held (also called Sponsor or Custodian). 
Select a State. Note: You may also select No State Required. 
Select a Registration Type. 
Select a Product Type. 
Select Account Options, if necessary. Then click Next. 
Proceed to Reviewing the Work Item Summary Screen. |