Opening New Accounts

Introduction: This page describes how, as a rep, you can open new accounts through the Docupace Starting Point.

Version History

Date	Change
March 2024	Updated for clarity and UI look & feel.
January 2020	Latest Starting Point updates.

You can create new accounts by using following the steps below:

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.

Note: The list of fields and sections will depend on your Docupace site configuration and may differ from this screenshot.

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.

Fill out Client Details, then click Save in the top toolbar:

Fields	Description
Client Type	Select the client type from the dropdown. Below is a list of fields required when you select a particular type: Person: Last Name, First Name, TIN/SSN, Rep Prospect: Last Name, First Name or Company Name, Rep Business/Entity: Company Name, TIN/SSN, Rep Trust: Company Name, TIN/SSN, Rep
Client Status	Select a status from the following options: Active Client: If the client is opening new accounts or has existing accounts with your company. Inactive Client: If this is a potential client, that has not opened any accounts yet.
Business Type	Select a business type from one of the following options: Broker-Dealer Non-BD
Rep	Add one or more reps’ to this section. Click on the Add button. A table containing the existing reps’ records appears. Select the 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.

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.

Click the New Client button, 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. Select checkboxes next to corresponding client records and click Select.

The system lists the new account owners. You can add more owners if necessary. Click Complete to complete this step.