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Tip: Click the link under each image to view it in more detail.
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.
| 1 | Navigate to Tracker-BI. Note: You may need to click the Tracker-BI link in the top toolbar. |  |
| 2 | Enter the investor’s information into the Client Search fields. Attention: Either their last name or SSN is required in order to begin. |  |
| 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 prospect profile for your investor. (Continue to step 5) |  Figure 4: Client Search Results
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| 5 | Enter the investor’s information. Client Type: New investor records created with Tracker-BI are added to the system as prospects. You will need to convert them to clients to complete additional transactions. See Updating a Prospect to a Client for more information. Attention: The following fields are required
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| 6 | Confirm that the client’s information is correct. Note: You may modify it if needed. Any modifications to an existing client will update the client’s information in the Client Folder. However, you cannot edit the name and SSN fields. |  |
| 7 | Click Next. |  |
Step 2: Provide Discussion Details
Next, you must enter the details related to the conversation that you had with the investor.
Attention: Your specific configuration may differ from the images shown here.
| 1 | Enter details about your discussion with the investor. |  |
| 2 | Confirm whether or not you provided verbal disclosures. If so, provide additional details. |  |
| 3 | Provide any additional details about the conversation. |  |
| 4 | Click Next. |  Figure 12: Next Button |
Step 3: Select the Method of Disclosure Delivery
There are three ways that you can deliver disclosures. Read The Process to learn more about what happens after you click Next.
| 1 | Select one of the following delivery methods:
Tip: Select this method if the investor wants to receive hard copies of the disclosures in the mail.
Tip: Select this method if the investor wants to receive disclosures via email.
Tip: Select this option if hard copies of the disclosures have been supplied to the investor. |   Figure 15: Electronically Selected  |
| 2 | Click Next. | |
| 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 related information. Start New: Click Start New to begin the process again with a new investor. |  |
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 a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. The recipient’s mailing address appears below the confirmation message.
The system creates a task in the Pending Client Mail Delivery queue.
Tip: You can click View to see a copy of the disclosures.
Electronic
The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. It also displays the email address that will receive the disclosures.
The system sends the investor an email with a hyperlink to the electronic disclosure documents.
Tip: You can click View to see a copy of the disclosures.
Personally Supplied
The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. The system displays the investor’s email address and mailing address.
Tip: You can click View to see a copy of the disclosures.
