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	Provide any additional details about the conversation.
4	Click Next

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1	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. Electronic Select this option if the investor wants to receive disclosures electronically. The system will capture their permission to provide these disclosures using this method. Personally Supplied Select this option if a financial professional personally supplied disclosures to the investor. A screen will appear with a confirmation code that can be used in the event of an audit.	Mail confirmation Screen
2		Personally Supplied Confirmation Screen
3	Click view or start new.