The client binder has two key purposes
- It is a visually organized display of all the digitally stored client paperwork that is submitted via the Berthel One Account Wizard. It is designed to organize and store your required Books and Records and client paperwork, meeting FINRA requirements for indexing, retrieval, and retention.
- The binder is also designed to store your manual uploads of client-related paperwork and information that you wish to store and share online in a secure, encrypted environment.
A list of document types stored in each binder is listed in this article.
Below is a diagram of the client binder. The binder uses a file tree structure similar to windows and other file storage systems. Use the + and – icons to the left of the tree to expand and collapse the various sections of the listing.
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- Client Name: the client’s name is displayed at the top of the binder.
- Table of Contents: this section outlines the structure for the various types of documents stored in the binder. Click on any item in the list to display the subcategories and documents for that section. The list and individual files will be displayed in the main section of the binder. A full list of the document types stored in each section is provided at the end of this section.
- Main Category: This is the top level category of the binder outline for the section you have chosen from the left side table of contents. This file tree will change as you click on each section. Subcategories can be expanded and collapsed using the + and – signs on the left side of the tree.
- Files: this section displays a list of all the documents stored under the expanded section. Click on the document to open it.
- +/- (Navigation): click on these to expand and collapse the file tree.
- Sort by Registration: When you first open the binder, it displays all the documents for all registration types for a client. If you choose a registration from the drop down menu, the binder will only display the documents for that specific registration type. Registrations are added dynamically as those registrations are submitted via the account wizard.
- Manual Upload/Document Selector: this drop down lets you assign a document type for each manually uploaded item. Choose a document type before clicking on the upload button to file the item into the correct category. This list shown in this drop down changes depending on which section of the binder you are viewing. To change the list, simply choose a different section from the table of contents.
 - Upload: Click on this to upload files from your local pc or network. It opens an Upload dialog box, allowing you to browse to your files and upload them into the binder.
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