Content

Overview

The Firm TA Dashboard displays a high-level view of the books of business for all advisors in transition who have completed FINRA Form U4. The dashboard provides an aggregated view of all the investor accounts in transition post-affiliation.

The back office and executives use it to quickly see how many accounts across all advisors are transitioning to the firm. They can see the totals across all transitioning advisors or search by rep code or advisor and see the total number and status of what is in process, pending signature, pending transition, or complete.

Accessing the Firm TA Dashboard

To open the app, select Firm TA Dashboard from the menu. Note that access to the dashboards from a menu may vary depending on your configuration.

Open

In this example, the chart in the upper part of the screen shows four different statuses:

• In Process

• Pending Signature

• Pending Transition

• Complete.

In the lower part, the grid shows all Reps associated with these accounts. Select any Rep (DP9999 in the following example) to get the chart with the Rep's accounts and statuses. The upper left corner of the screen shows the corresponding Rep code or advisor's first/last name.

To see all accounts again, click Clear.

Open

By default, the app displays all accounts. There are several elements in the app’s user interface.

• Pie chart of accounts by status

• List of reps

• Search filter

• Navigation buttons

You can search for a Rep. Select the Rep from the Rep Code, Advisor First Name, or Advisor Last Name dropdown (TR888), click the Search button, and click the Rep row on the grid.

Click the Next and Previous buttons to navigate through the list.