Step 1: Identify the Investor
Each discussion tracked using this widget MUST be associated with a prospect/client (investor). The first step in the process is to determine if the investor is already in the system or if you need to create a new prospect/client.
Figure 1: Client Search
| 1 | Navigate to Tracker-BI. Note: You may need to click the Tracker-BI link in the top toolbar. |  Figure 2: Navigation Link |
| 2 | Enter the investor’s information into the client search fields. Attention: Either their last name or SSN is required in order to begin. |  Figure 2: Navigation Link |
| 3 | Click Search. |  Figure 3: Client Search Button
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| 4 | Take one of the following actions based on the results that appear: A: Click the client search result that matches your investor. (Skip to step 6) B: Try your search again. (Repeat steps 2 and 3) C: Create a new client profile for your investor. (Continue to step 5) |  Figure 4: Client Search Results
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| 5 | Enter the investor’s information. Attention: The following fields are required
|  Figure 5: New Client Info page
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| 6 | Confirm that the client’s information is correct. Note: You may modify it if needed. |  Figure 6: Client Info Page Filled Out
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| 7 | Click Next. |  Figure 7: Next Button |
Step 2: Provide Discussion Details
Next, you must enter the details related to the conversation that you had with the investor. There are three fields on this page, though only two are required.
Figure 8: Client Disclosure Details Screen
| 1 | List the specific recommendation(s) discussed or considered |  Figure 9: Recommendations Field |
| 2 | Identify if you provided verbal disclosures. Tip: If you did not provide verbal disclosures, enter “No” in this field. Attention: This field is required. |  Figure 10: Verbal Disclosures Field |
| 3 | Provide any additional details about the conversation. Attention: This field is required. |  Figure 11: Additional Details Field |
| 4 | Click Next. |  Figure 12: Next Button |
Step 3: Select the Method of Disclosure Delivery
There are three ways that you can deliver disclosures. The next section contains more information about what happens after you click next.
Figure 13: Delivery Method Selection Screen
| 1 | Select one of the following delivery methods:
Tip: Select this method if the investor wants to receive physical disclosures in the mail.
Tip: Select this method if the investor wants to receive physical disclosures in the mail.
Tip: Select this option if a financial professional either already personally supplied or will personally supply immediately after submitting the disclosures to the investor. |  Figure 14: Mail Selected  Figure 15: Electronically Selected  Figure 16: Personally Supplied Selected |
| 2 | Click Next. | Figure 17: Next Button |
| 3 | Note: The system displays a confirmation screen that varies depending on the selected method of delivery. Click View or Start New. View: Click View to open the disclosures and any tasks associated with the investor Start New: Click Start New to begin the process again with a new investor. |  Figure 18: Navigational Buttons |
Confirmation Screens by Delivery Method
More Information: You can learn more about what happens once you arrive on one of the pages below in the Process section of this guide.
The system displays the recipient’s mailing address and a confirmation code that can be used to locate this interaction in the system. It then creates a task for a financial professional to send by physical mail.
Figure 19: Mail Delivery Confirmation Screen
Electronic
The system displays the email address that will receive the disclosures. It also provides a confirmation number for later reference. An email with a hyperlink to electronic disclosure documents is sent to the specified email address.
Figure 20: Electronic Delivery Confirmation Screen
Personally Supplied
The system displays both the email address and the mailing address, confirming the recipient’s identity. The confirmation code provided on this screen can be used in the event of an audit. If you have not yet provided the investor with the appropriate disclosures, you can click View to open and print the disclosures.
Figure 21: Personally Supplied Delivery Confirmation Screen