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Step 1: Identify the Investor

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1

Enter the investor’s information into the client search fields.

Note: Either last or SSN is required in order to begin.

2

Click Search.

3

Enter the investor’s information.

Note: The following fields are required

  • First name

  • Last name

  • Email address

  • Address line 1

  • City

  • State

  • Zip

  • Country

4

Confirm the client’s information is correct.

5

Click Next.

Step 2: Provide Discussion Details

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1

List the specific recommendation(s) discussed or considered

2

Identify if you provided verbal disclosures.

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

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

3

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