- This section is required for all account types.
- The paperwork page is where you will generate, populate and and submit forms to the home office.
On the Paperwork Page, you will find the following features and functions:
The- A. The Reference Number - this unique number is used to identify this specific account wizard transaction. The first two letters indicated the company*. The next four numbers indicate who created the transaction. The remainder of the numbers are randomly generated.
- B. Pre-Submission Check - This optional function can be used to run a check that will indicate to you if any required data fields are missing or if any required paperwork is missing. You will see a screen similar to the one shown below.
- C. Generate Client Account Form (CAF) - Click the “Generate CAF” button to generate a Client Account Form. This PDF version of the CAF is populated with the data that you entered through the account wizard and includes copies of the IDs if they have been uploaded. If there are more than two account owners, the additional signature form will be generated. This CAF bundle will open up in Adobe Acrobat. You cannot change or fill in the blanks on this pdf. If you need to change the info, you must update it in the wizard and regenerate the CAF
- D. Add CAF to LaserApp Bundle - Check this box to add a CAF to the LaserApp Bundle. It will have all the same populated fields as the pdf generated using the Generate CAF button.
- E. Generate Paperwork - Click the “Generate Paperwork” button if you need to generate forms other than the Client Account Form. This shares the account data with LaserApp and automatically downloads and opens the required forms bundle for you. Client information from the wizard will be populated into those forms and additional information can be typed into the LaserApp forms. Some data, like the info for Beneficiaries, is not automatically inserted into the forms, but must inserted using the insert button within LaserApp.
Note: LaserApp must be installed on your machine to generate these forms.
If you selected any sponsor company forms on the transaction info screen, these forms will also be opened and populated in LaserApp when you click on “Generate Paperwork”. Most product forms require more info than is collected by the Account Wizard. In such cases, you will need to manually enter the additional data in LaserApp.
If a required form or item is not generated by LaserApp, you will also need to upload them in the designated spot below.
When you click on the Generate Paperwork button, the forms bundle will open in LaserApp. Client information from the wizard will be populated into those forms and additional information can be typed into the LaserApp forms. Note: LaserApp must be installed on your machine to generate these forms.
- F. Generate Paperwork - LaserApp Anywhere - use this button to generate the paperwork bundle in the web version of LaserApp Anywhere.
- G. Scan Paperwork - Print the paperwork, complete any missing fields and have the client sign any required areas. Next, have the Rep sign the completed forms. After both the rep and the client have signed the paperwork, scan the paperwork into pdf versions. Then upload the pdfs under the Attach Paperwork section below. You may scan the paperwork in as one bundle or use the preferred method of attaching each form separately. Individually scanned paperwork will automatically fill in the client’s binder once approved.
- H. Upload and Attach Paperwork - This section provides a list of all the required and optional paperwork that should accompany the transaction.
- The list is dynamically created based on the items that are selected throughout the wizard.
- Most forms are listed based on information entered on either the Account Information or Transaction page.
- Required form names are displayed in red.
- Any product company forms that you select on the transaction page are always marked as required. As you upload the forms, they
- I. Generate Mail Blotter - Check this box only if you are mailing originals docs to the home office. Then, print off the sheet that is displayed and attach it with the original documents that you are mailing to the home office. The Mail Blotter includes details about the transaction, including the reference number that helps the home office staff accurately match the originals to the Account Wizard entry. Mail blotters should always accompany any original paperwork or checks that are mailed to the home office.
- J. Attach Paperwork Images - Use the Attach button to attach the pdf copies of your forms. The view button allows you to see that form once it is uploaded, allowing you to confirm that you have selected the correct version. The Clear button lets you clear out the form if an incorrect file has been attached.
- Functional Buttons: Use these buttons to attach, view and clear the paperwork pdfs.
Attach: Click on the “Attach” button next to the title of the appropriate form and then browse to the location on your computer or network where the item was saved.
- View: Click on “View” to view a pdf version of the item that you have uploaded in the slot.
Clear: Click on “Clear” to clear the uploaded document from the slot.
- Attach Paperwork Bundle: Use this section to attach a bundle of paperwork for the transaction. Please note, if a bundle is submitted for a transaction, the item will first go to an image prep queue at the home office so that the documents can be split out and attached to the individual slots. The item will only make its way to compliance for review after it all the documents have been filed in the proper slots. Submitting items in this way can delay the review and approval process. For fastest review and approval it is recommended that documents be attached in the correct spots prior to submission.
- Functional Buttons: Use these buttons to attach, view and clear the paperwork pdfs.
- K. Submit Paperwork - This is the last step. Once everything is complete, correct and attached, you can hit the submit button to send the transaction to your regional compliance team for review and approval. Upon submission, the same check as the pre-submission check is performed and you are notified if any data or forms are missing.If you miss a required field, you will be asked to complete it before submitting the item.
