Processing Electronic Signatures through DocuSign DocuSign allows you to send documents to clients for electronic signature. This training document explains how to send forms to clients directly within the DocuSign system. To print this article select the 'Generate Article PDF' link on the right side of this page. Login to DocuSign 1. Go to https://www.docusign.com 2. Click the 'Log In' button. 3. Enter your user credentials to access the system. If you don't have a login to DocuSign, request one via email to ClientService@carsongroup.com. Page 1
Select to Send an Envelope 1. Click the 'New' button at the top of the page. 2. Select to 'Send an Envelope'. Upload Forms for Signature In this step you will upload the forms you wish to send electronically. In most cases you will complete and save the forms prior to upload. Once this is complete follow the directions below to upload your forms and prepare your envelope. Page 2
1. Click the 'Upload' button at the top of the page. 2. Find the forms you wish to upload from your local computer and click the 'Open' button to complete the upload process. If needed you can upload additional documents that you wish to send in this envelope by clicking the 'Add Document' button at the top of the page. Add Recipients to the Envelope The signing order determines how the envelope will be routed. Always be sure to list signers at the beginning of the routing order with copies sent to TDA or Carson Group at the end. Click the links below to learn more about common recipients you might add to an envelope. Clients When routing documents to a client for signature you have the option of sending them an email to initiate the process on their own or hosting the signature process in your office. Each of these options is explained below. Emailing a Client for Signatures 1. Check the 'Set Signing Order' box. Page 3
2. Enter the name and email address of the client you wish to email for signature. 3. Select 'Needs to Sign' from the drop down menu. 4. Select to 'Add Access Authentication' form the 'More' drop down menu. 5. The access authentication you select depends on what documents are being signed. 1. Access Code - This option can be used if documents are only being routed to Carson Group. When you select this option you will need to enter an access code and supply it to the client so they can access the documents being signed. If documents will be sent to TDA or Fidelity you must use the Knowledge Based Authentication. 2. Knowledge Based $ - This option must be selected when sending documents to TDA or Fidelity. This will take the client through a series of security questions to verify their identity. Sign in Person 1. Check the 'Set Signing Order' box. 2. Enter the name of the client who will be signing the forms. 3. Select 'Sign in Person' from the drop down menu. Page 4
4. Enter the name and email address of the person in your office who will host the signing. This person needs to have a DocuSign login as the email to start the in person signing will be sent to them to begin the process. 5. Select to 'Add Access Authentication' form the 'More' drop down menu. 6. The access authentication you select depends on what documents are being signed. 1. Access Code - This option can be used if documents are only being routed to Carson Group. When you select this option you will need to enter an access code and supply it to the client so they can access the documents being signed. If documents will be sent to TDA or Fidelity you must use the Knowledge Based Authentication. 2. Knowledge Based $ - This option must be selected when sending documents to TDA or Fidelity. This will take the client through a series of security questions to verify their identity. Click the 'Add Recipient' button and repeat these steps if multiple clients need to sign the forms in your envelope. Page 5
Advisors If the advisor on the account needs to sign any of the forms you will need to add them as a recipient on the envelope. They should be listed in the signing order after client signers and before Carson Group and/or TDA. 1. Click to 'Add Recipient'. 2. Enter the name and email address of the advisor. 3. Select 'Needs to Sign' from the drop down menu. 4. Select to 'Add Access Authentication' form the 'More' drop down menu. 5. The access authentication you select depends on what documents are being signed. 1. Access Code - This option can be used if documents are only being routed to Carson Group. When you select this option you will need to enter an access code and supply it to the advisor so they can access the documents being signed. If documents will be sent to TDA or Fidelity you must use the Knowledge Based Authentication. 2. Knowledge Based $ - This option must be selected when sending documents to TDA or Fidelity. This will take the advisor through a series of security questions to verify their identity. Page 6
Carson Group Operations Use the instrcutions below to route copies of documents to Carson Group Operations for processing. This is typically used to submit CWM, Investment Advisory Agreements for approval. 1. Click to 'Add Recipient'. 2. Enter Carson Group Operations in the 'Name' field and allianceoperations@carsoninstitutional.com in the 'Email' field. As a shortcut click the address book icon and select Alliance Operations from the list. 3. Select 'Recieves a Copy' from the drop down menu. 4. Select to 'Add Access Authentication' form the 'More' drop down menu. 5. Select 'Access Code' as your authentication type then enter '6727' for the access code. Page 7
TD Ameritrade Use the instructions below to route copies of documents directly to TD Ameritrade for processing. 1. Click to 'Add Recipient'. 2. Enter TDA in the 'Name' field and ztdae-sig@tdameritrade.com in the 'Email' field. As a shortcut click the address book icon and select TDA Docusign from the list. 3. Select 'Recieves a Copy' from the drop down menu. 4. Select to 'Add Access Authentication' form the 'More' drop down menu. 5. Select 'Access Code' as your authentication type then enter '2583' for the access code. Page 8
Fidelity There is currently not a way to send documetns directly to Fidelity through DocuSign. Once the documents are signed you will need to manually upload the electronically signed forms along with a copy of the Certificate of Completion from DocuSign. These forms can be uploaded within WealthScape using the Document Submission tool. Once you have added all of the necessary recipients, click the 'Next' button in the upper right corner to continue. Page 9
Add Signature Tags In this step you will add signature tags and other data fields to your forms as needed. Visit the sections below for common tools you may use in this section. Manage PDF Form Field Data Select an option from the pop up window to continue, options include: 1. Assign To - Select this option if you want to assign all fields on the form for a signer to confirm or complete. If you choose this option the signer will be prompted to visit each field on the form to confirm that data or fill in missing information. This option is normally not selected if you completed your form in advance of uploading to DocuSign. If you select this option you will also need to select a signer from the drop down to assign the fields to for completion. 2. Keep PDF Form Data - The data on the form will be preserved and cannot be edited. Select this option if your form is complete and only needs to be signed by the client. This is the most commonly used option when sending documents for electronic signature. 3. Click 'Confirm' once you have made a selection. Page 10
Adding Signature Tags, Names and Dates When adding signature tags or other fields you will select from the fields available on the left side of the page and drag and drop them onto the form. 1. Select the person that will be signing from the drop down menu in the upper left corner of the page. 2. Scroll to the area on the form where a signature is required then drag the 'Signature' field to the signature line on the form. 3. Drag the 'Name' field to the section of the form where a printed name is required. Repeat these steps for other fields required on the form, such as, "Date Signed' or 'Initials'. Page 11
Adding Text Boxes to Complete Specific Form Information If there are one off fields on the form that you need the client to complete you can add these to the form so they will be prompted to complete the info when they sign electronically. 1. Select the person that needs to complete the field from the drop down menu in the upper left corner of the page. 2. Scroll to the area in the form where the field is located then drag the 'Text' field on to the form. 3. On the right side of the page select if you want to make the field required. If you uncheck this box the client will be prompted to complete the info but they can pass by it if they choose. 4. If you like you can also enter a tooltip that will be visible to the client when they come to that field on the form. This can be used to provide an explanation of what the client needs to enter. Page 12
Completing the Process Click the 'Send' button in the upper right corner to begin the esignature process. The document will route according the routing order you established. You can track the status of your envelope with the 'Quick Views' under the 'Manage' tab in DocuSign. Page 13
Accessing Signed Documents Once all signers have completed the electronic signature process you will receive an email with a copy of the completed forms and the DocuSign Certificate of Completion. You can also attain these documents directly in DocuSign following the instructions below: 1. Within DocuSign, click the 'Manage' button. 2. Select 'Completed' on the left side of the page. 3. Click the name of the document you wish to view. 4. Click the download icon. 5. Select to 'Combine all PDFs into one file'. Doing this will group the signed documents with the DocuSign Certificate of Completion. 6. Click to 'Download' the completed forms. Page 14
Copies of completed advisory forms along with the DocuSign Certificate of Completion should be stored in Egnyte within the C.E.O. system. Save Time with Templates Carson Group maintains a number of templates in DocuSign that you have access to utilize. Templates automatically insert common routing recipients and also apply signature tags to areas where signatures would be required on the form. To use a template when uploading a new document for signature: Page 15
1. Click the more options icon under a form you uploaded and select 'Apply Templates'. 2. Select to 'Browse' templates. 3. Select to view 'All Templates' on the left side of the page. 4. Check the box of the template you wish to apply. 5. Click to 'Apply Selected'. Once a template is applied you can edit the routing info and signature tags as needed before sending your document electronically. Page 16
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