NEW ACCOUNTS
Financial advisors use this tool to open new accounts in Client Works.
What is the New Accounts Opening Tool?
A record of account transactions is stored on this page.
What is the activity screen?
The _____ ______ is a manual repapering process that allows for forms to either be e-signed or printed off.
What is the Forms Tool?
An entity name cannot exceed this amount.
What is 30 characters?
On the AHIS screen, to determine a deposit has been made to the client's account, this will appear next to the amount.
What is a dash?
UTMA/UGMA accounts require this person's social security number on the account as the primary.
Who is the minor?
Check copies can be viewed on this page.
What is the documents page?
In BETA, on the ACCT screen, this will indicate that the Prudential account number came over on the tape.
What is the Prudential account number?
This screen in BETA will display the "A1/A2 not required.
What is the AIRE screen?
This screen allows FSPs to add/log, remove, or update a document.
What is the DOCA screen?
Due to Client Works limitations, some account can only be opened this way.
What is a manual account opening?
By clicking on actions, edit, client, the financial advisor is able to update this for the primary account holder.
What is the client profile?
_____ and ______ will show where an account inception date can be viewed.
What is Client Works and ADIET?
This tool allows for manual repapering to be completed focusing on an e-signature provided by the client and FA.
What is DocuSign?
The _____ screen displays periodic distributions by journal, ACH credit, or check.
What is the DIST screen?
This account type can be opened with the TXID, EIN, or SSN
What is a trust account?
Trade confirmations are stored on this page.
What is the statements page?
This is not allowed for partial transfer requests.
What is a residual sweep?
This will not automatically transmit data to BETA.
What is manual repapering?
The _____ allows for changes/updates to the ACCT screen information, i.e. update address, or correct the spelling of a last name.
What is the ACTU screen?
This form is required when opening new accounts manually.
What is the F731?
Use this tool in Client Works to check the status of a new account
What is the Request Tracking tool?
If the account did not auto incept, the client can still receive this.
What are their funds?
The FA has ____ days for advisor and _____ days for brokerage to repaper.
What is 90 and 180 days?
This information is located on this screen in BETA.
What is the SORC screen?