HOW TO ACCESS AND SUBMIT DOCUMENTS TO SUMMIT FOR PROCESSING USING REDTAIL

Transcription

1 HOW TO ACCESS AND SUBMIT DOCUMENTS TO SUMMIT FOR PROCESSING USING REDTAIL Summit Brokerage Services User Guide May 2015

2 HOW TO ACCESS AND SUBMIT DOCUMENTS TO SUMMIT FOR PROCESSING USING REDTAIL Redtail should be used for New Accounts ONLY. The Maintenance information goes through Docupace Starting Point on the Subfolder level. USING REDTAIL AND DOCUPACE There are various features you can take advantage of: 1. Access to the Docupace Main Page. 2. Access a client directly from Redtail. 3. Create a new Docupace client from Redtail. 4. Sending client data directly to StartingPoint 1. Access from Main Page (Single Sign On). a. From any page on Redtail, locate the Integrations tab in the right corner. b. When you select it, the list of integration partners appear. Locate Docupace and select Single Sign On from the dropdown menu. Rev 05/15 Page 1 of 5

3 c. Your main Docupace page will appear in a new browser tab. You can navigate throughout Docupace. 2. Access a client directly from an existing Client Contact. a. Search and retrieve your client contact in Redtail. b. Locate the Integrations tab (as in earlier example). You will now see two links, Single Sign On and Send To. c. Select the link Send To. Rev 05/15 Page 2 of 5

4 d. A new tab will open and you will be redirected to that client s folder set in Docupace. Note: Ensure that Redtail contains all required fields; refer to the client s folder setup instructions. e. Once you are done retrieving the information from within Docupace, you can either leave it open or simply close the tab and you will be redirected back into Redtail. 3. Submitting the Client in to Docupace a. Creating a Client in Docupace From Redtail b. Search and retrieve your client contact in RedtaiL c. Select Integrations > Docupace > Send To d. A new dialog screen pops up (when the client is not already in Docupace) e. Select Create New Folder f. A new tab opens and the new Docupace client folder has been created If you receive the following message it means the required fields were not completed in Redtail. You will need to make sure the First and Last Name, TIN/SSN and Advisor is filled in. Message- We received the following error message from Docupace Technologies: Failed in Client Creation: Exception while adding Client Folder record: Last Name, First Name, TIN/SSN and Rep required for Client Type: Person => Exception while adding Client Folder domain record => ORA-20101: Last Name, First Name, TIN/SSN and Rep required for Client Type: Person ORA-06512: at "SUMMIT2.LC110_ARINSUPD_PERSON_VALID", line 30 ORA-04088: error during execution of trigger 'SUMMIT2.LC110_ARINSUPD_PERSON_VALID' Rev 05/15 Page 3 of 5

5 4. Sending client data directly to Starting Point a. From the Redtail Contact Overview, locate the Integrations tab in the lower right hand corner. Locate Quick Forms and select the Send To link by clicking on the link. (This will generate forms only.) b. The download will appear in the bottom corner of your window. You will need to click on the box to open it. i. While the download is loading you will see this image. j. A pop up screen will appear Security Warning - click the box beside accept the risk and want to run this application. then click on Run. Rev 05/15 Page 4 of 5

6 k. The Docupace Login screen will appear, login to Docupace. Older versions of Internet Explorer - you may need to click the Close button for the Google Chrome Frame. The Starting Point Wizard screen will now appear. Refer to How to Access and Submit Documents to Summit for Processing Using Starting Point (New Client) procedure. Rev 05/15 Page 5 of 5

7 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 05/15 Page 6 of 5

8 ** When selecting Starting Point from Client Folder it will create a new Client Subfolder. By going into the Client Subfolder, 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 05/15 Page 7 of 5

9 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 05/15 Page 8 of 5

10 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 05/15 Page 9 of 5

11 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 forms(s) selected will appear within the WI/Request. Rev 05/15 Page 10 of 5

12 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 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). 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 05/15 Page 11 of 5

13 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 05/15 Page 12 of 5

14 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 05/15 Page 13 of 5

15 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. For more detail information on how to use Starting Point refer to the How to Access and Submit Documents to Summit for Processing Using Starting Point (New Client) procedure. Rev 05/15 Page 14 of 5

16 Rev 05/15 Page 15 of 5