HOW TO ACCESS AND SUBMIT DOCUMENTS TO SUMMIT FOR PROCESSING USING STARTING POINT NEW CLIENT

Transcription

1 HOW TO ACCESS AND SUBMIT DOCUMENTS TO SUMMIT FOR PROCESSING USING STARTING POINT NEW CLIENT Summit Brokerage Services User Guide March 2016

2 HOW TO ACCESS AND SUBMIT DOCUMENTS TO SUMMIT FOR PROCESSING USING STARTING POINT New Client 1. To access Starting Point, start by clicking the Retrieve tab at the top of the screen. 2. Select the Client Folder to the far left of the screen to search for the client you d like to generate forms for. You can search by the client s TIN/SSN, Last Name, First Name, etc. Once you have filled in your search field. Click Submit. 3. Since this is a new client, no criteria will be found. Click New to create a new Client Folder. 4. The Add New Client Folder screen will appear. Complete the details to create a New Client Folder. Rev 03/16 Page 1 of 17

3 ** When selecting Starting Point from Client Folder it will create a new Client Subfolder. By going into the Client Subfolder, and selecting Starting Point you will put new forms into the selected registration. 5. You can search by the client s TIN/SSN, Last Name, First Name, etc. Once you have filled in your search field, click Submit. 6. The Client Folder that meets your search criteria will show as below. Click Contents for the Client that you are looking for. You will see a General Subfolder automatically generated. 7. Launch Starting Point from directly within the Client Folder Rev 03/16 Page 2 of 17

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5 Using Starting Point New Account 1. Shown below is how Starting Point will start up. 2. Select the following five mandatory fields: a. Transaction for this account b. Vendor/custodian for this account c. State d. Product type e. Registration type f. Select if advisory business If the following message appears Summit has not created a forms kit to match the sponsor. If the message does not appear, proceed to page 8 as Summit has created the kit for you. Rev 03/16 Page 4 of 17

6 Shown below is how Starting Point will automatically open. A. Current Request: The tab that allows you to view current Work Items. B. Outstanding Tasks: These are Work Items that are outstanding and can be found in Pending Advisor Review in Docupace. C. Cabinets: Here you can create your own packages with frequently used forms, etc. D. Form Author: The tab that shows the Sponsor and/or Firm that provides the forms. E. Form Name: The tab that displays the Form Name. F. Form Type: The tab that determines what type the particular form group is. i.e. Trading, Account Transfer, New Accounts, etc. G. Form Category: The tab that determines what category the forms are. i.e. Brokerage, Retirement Plans, Account Admin, Rep Admin. H. Filter: This tool allows you to filter and show a particular search. 3. In order to select the sponsor forms that you would like to have added to the work item, select the Forms folder located on the lower left hand side of the page under Cabinets. 4. Locate the forms that you wish to open by highlighting each record (Ctrl + Select if more than one). You can also pull the forms out of a saved subfolder, or Favorites Folders, as discussed above. The subfolder of forms packets (or favorites) is saved in the Forms Cabinet. Rev 03/16 Page 5 of 17

7 5. Select the Create Request button, located on the top left toolbar. 6. The Start Wizard appears, Hit Next 7. A new request will appear in the Current Request pane. The form(s) selected will appear within the WI/Request. Rev 03/16 Page 6 of 17

8 8. The form populates with the information you entered when creating the client folder in Docupace. The Start Wizard appears. The questions answered represent fields in the Client Subfolders within the Docupace system. Select the Next button. The selected forms will automatically be assigned to the client s newly created Client Subfolder in addition to being attached to a work item for processing. The first four fields must be populated or an error message will display. Fill out the following information: (If you cannot view the entire document, click the Adobe box in the top right corner shown below.) 9. To update the WI/Request, click the form(s) under the corresponding request; the form(s) will display in a pane to the right. From here, you can review the form and add any additional data required on the form. You can edit each form and any updates to the forms will be saved when you select the Save button (on the top right, shown below). It is very important to hit the Save button in order for the data that you entered to be saved on the form. Note: To close the individual form tabs that open within the right pane, click the icon to the left of the tab title (shown below). Rev 03/16 Page 7 of 17

9 Demonstrated below is the auto populated Pershing New Account Form. You can see that all the information selected in Image A (Docupace Client Folder) is displayed in Image B (Starting Point). Note: The more details you complete when creating a new client folder in Docupace, the more data that will auto populate in Starting Point. Image A Image B Similar to editing the Client Subfolder, if you select Edit Document Info, the document indexing screen displays. Click Submit to complete the task. Once the form is filled out entirely, you will still have to get the client to sign the form in order to submit it to Summit Brokerage for processing. In order to have the client sign the form(s) you will need to print the documents for signature and then scan them back into Docupace to replace the old version with the signed copy. Rev 03/16 Page 8 of 17

10 11. Highlight the work item in the Current Request pane. Then, select Actions>Print All Forms (+barcodes) After the paperwork is complete and signed by the client, you ll need to replace the documents within the Work Item. When we created the Work Item in Starting Point it automatically created the same Work Item in Docupace. 12. You will need to place the barcode cover page on top of the copy of the SIGNED document and scan it back into Docupace. Since the barcode is linked directly to the original document in question, Docupace will override the original document and replace it with the client s signed copy. Rev 03/16 Page 9 of 17

11 13. As shown below, the new document that is scanned into Docupace replaces the old version with the new. As you can see, the signature page has the client s signature and if you scroll all the way down on the left hand side you can see in the Image History field version 2 is displayed. If you wanted to see the original copy from Starting Point, you could select the drop down in this field and select version 1 which is now archived in the client folder. Once the Work Item is properly indexed, click Submit. 14. Now that the document is properly indexed, it is time to send the document for review to Summit Brokerage. Go to MyDesk > Pending Advisor Review - Click Send for Review. Remember: As discussed in the How to Index Documents to be Sent to Summit for Processing Chapter, once you select Send for Review the document will be sent to the advisor s Pending Advisor Review folder once again. Here any final changes can be made. Once the document is ready to be sent to the Home Office the advisor will then select Send for Review for a second time in order to submit the document to Summit Brokerage for processing. Rev 03/16 Page 10 of 17

12 How to Edit the Work Item At the Request/WI, the user can edit the Work Item information or the Client Subfolder information associated with the WI. Place the cursor over the Request in the Current Request Pane, right-click and select Edit Work Item Info. Remember to make sure the Request Type is accurate. Select Edit Subfolder Info to display the client subfolder indexing screen Edit the Form/Document Right clicking on a document gives you other options, shown below, that include: Rev 03/16 Page 11 of 17

13 Similar to editing the Client Subfolder, if you select Edit Document Info, the document indexing screen displays. Click Submit to complete the task. Rev 03/16 Page 12 of 17

14 Deleting a Work Item from Starting Point Though there are significant limitations regarding the deletion of records in Docupace for compliance reasons, we have enabled the ability for you to delete completely unused/unindexed kits. Selecting Delete at the top of the page will delete the entire work item, assuming no documents have been updated (signed or scanned). To delete a form from the Work Item, you will need to right click on the Request Folder and select the Edit Work Item Info Go to the Attached Documents, click in the box next to the document number that should not be in the Work Item. Hit Remove, then Submit. Notes: 1. Should a document be updated (signed or scanned) and you try and remove it, you ll receive the following error. Rev 03/16 Page 13 of 17

15 How to Sync Forms in Starting Point Follow the steps below to sync forms in Starting Point. 1. After creating a request choose a form under the Request that you want to populate from a form you have previously created for the same client and then right click on that form. Note: This cannot be from a scanned document 2. Select Sync from Existing Form. 3. A window will display. To sync forms with any previous forms, you must un-check the Show same forms only check box (checked by default). * Note: If the form selected for syncing was not previously saved for the same client, no forms will appear unless the Show same forms only box is un-checked. Rev 03/16 Page 14 of 17

16 4. By default, the window will show the same form(s) as the one from which you selected to sync and will contain changes you have made and saved to that form. 5. Select that form and click OK. A popup will display a message letting you know you have synced successfully, as shown below. *Note: Going back to step three, if you want other forms (aside from the one that you are working on) that you have previously made and saved changes for under that same client, uncheck the box that says Show same forms only. When you do so, all forms you have saved will appear; you can select any form and proceed to step 5. Rev 03/16 Page 15 of 17

17 How to Create Favorites Folders Each user has the ability to create personal folders to store forms that are used on a regular basis. These favorites are set up in the Cabinet > Forms section (3rd pane on the left side, bottom left corner). In some instances, a user may simply want to have some forms readily available. In other instances, an advisor may frequently open accounts, for example, that are American Funds, Individual, or IRAs. A user has the ability to search and retrieve those required forms and place them in their own personal subfolder within the Forms repository. Within the Cabinets > Forms pane on the left side: 1. Right-click on the Forms folder. When you do this you will see the following popup menu with three options, New, Edit, and Delete. 2. Select New to add a new folder. 3. Type in the name of the folder desired. The subfolder will be created. 4. Search for the appropriate forms. Drag and drop forms from the forms library into the newly created subfolder. Note: You can create as many folders/subfolders as you d like. These are filtered by user. 5. To access them, just click on the folder you need and it will list the forms that you have placed in it. Any time a user opens that folder, those specific forms will appear. Rev 03/16 Page 16 of 17