The Account Wizard - Overview

The account wizard will guide you through preparing your client’s account paperwork and then allow you to submit your accounts and the required paperwork to the home office securely and electronically.

The wizard asks you a series of questions that are used to prompt you for all the required fields and paperwork for each type of account. It uses the account type, registration, custodian, submission type and investment type to determine the compliance requirements for each submission.

The Account Wizard has been designed to help you do the following key things:

1. Prepare the required paperwork for client accounts.
   1. Populate the Client Account Form and Additional Account Owner Signature Form (if required) with the client’s information.
   2. Pull together the required paperwork bundle in LaserApp and populate it using the applicable client data that was gathered through the Account Wizard.
2. Submit the required paperwork to the home office for compliance review and operational processing.
3. Track your submitted business.

After compliance approval, the data that you entered in the account wizard is shared and used to do the following:

1. Create a new contact in the contact manager for new clients, or
2. Update data for an existing contact if contact data changes.
3. Store the submission in the client’s history on the contact card.
4. Store the paperwork from the submission in the client’s binder
5. Fill out the required Transaction Blotter
6. Fill out the required Check/Cert Blotter