Table of Contents Introduction... 3 Getting Started... 4 Top Navigation... 4 Side Navigation... 5 Viewing The Dashboard... 6 Viewing Quote Details... 6 Trading... 7 Viewing My Portfolio... 9 Managing Widgets... 9 Viewing Account Details... 11 Overview... 11 Account Activity... 12 Balances... 12 Positions... 13 Portfolio... 14 Gain-Loss... 14 Account Profile... 15 Online Documents... 15 E-delivery Enrollment & Investor Mailbox... 16 Viewing Orders Details... 16 Viewing Research Details... 17 2
Introduction The client portal provides the Brokerage's customers with access to their realtime accounts and portfolios, plus an integrated trading site for equities, options, and mutual funds This provides information about the user interface and functionality for the client portal so you can start using the site and viewing your accounts. 3
Getting Started The client portal has two navigation styles: 1. Top Navigation: This is a common header available across the sections in the Portal where you can perform quick searches, perform trades, and make settings to your user profile. 2. Side Navigation: Provides navigation to various sections within the Portal. Top Navigation The portal header consists of the following items mentioned below: Get Quote: This function assists users to obtain the quote information using the security name or quote ticker as the search criterion. Trade: Based on your access, you can order Stocks, Mutual Funds and Options. 4
Quick Actions: Initiate a quick bank transfer here. Your Account: Set your preferences and account settings here. New Window Launcher: This function helps you to launch the same page in a new browser window. Side Navigation The access to the Portal Menu is provided on the left-hand-side of the Portal, which are as follows: Dashboard Accounts Orders Research 5
Viewing The Dashboard The Dashboard provides a snapshot of your account(s), with details such as Total Accounts, Groups, Average Balance, and Total Value, along with info graphics. Viewing Quote Details Quote details can be obtained by using the GET QUOTE search at the top of the page. The search function displays any quotes matching the ticker or security description you enter. When selecting a specific quote, the client portal performs a predictive search and provides you with results for what you have entered as you are typing. From the suggested list (above screen), click on the desired quote for details, shown below. 6
Trading The client portal provides trading functions to place orders for equities/stocks, options, or mutual funds, and to change or cancel orders and view the order status. On selecting the Trade tab, the following three trading options are displayed. 1. The Stock Order window is used to enter an equity/stock order. 7
2. The Option Order window is used to enter an option order. 3. The Fund Order window is used to enter a purchase/redemption order for a mutual fund currently held in the account, or for a new fund. 8
Viewing My Portfolio My Portfolio section helps you to view the net and detail summaries of your portfolio holdings, stocks, money market funds, your total account value, cash available, and the Market Value of your accounts. The individual accounts under the ALL category can be selected in order to retrieve the snapshot of that particular account. View for a particular account in terms of asset-type can be changed by clicking on the info-graph. Managing Widgets The client portal Dashboard has a number of widgets that you can use: Market Info: A visual line graph representing the market trend along with an option to select Market Indices on the graph. Top Gainers and Losers: Displays the highest stock price and lowest stock price along with the symbol of the stock on a day in a portfolio. Asset Allocation: Consolidated values for asset classes are displayed in the form of a 9
doughnut- chart for currently held positions in the portfolio. People s Securities, Inc. Message Center: Messages from brokerage (client rep) are sent to their client. Watch List: Securities which are user defined are used to track the price movements. On selecting Add a Widget, a pop-up window is displayed with a list of widgets and a brief description for each widget. Click to select and add widgets. Note: The widgets that are already in use are displayed as greyed out. To remove a widget, click on the settings gear in the top right corner of any widget and select Remove Widget. You can also change the order of display and change the way the data is displayed in each widget. Click on the gear icon, displayed on the top-right-hand of each selected widget to change settings, and dragand-drop the widget to any order on the page you choose for display. 10
Viewing Account Details The Accounts menu provides detailed information about the accounts held by you. Within the Account menu, you have the following sections: Overview Overview Activity Balances Positions Account Profile Online Documents E-delivery Enrollment Portfolio Gain/Loss Asset Allocation Sector Allocation This section displays the values for Free Cash, Total Market Value, Total Account Value, and Trading Power within an account or for all of your accounts at the top of the screen, as well as an overview of Recent Activity, Top Holdings, and Investment Allocation below. 11
By default, this section displays an overview all Recent Activity and Top Holdings related to all of your accounts. To view specific account related overview, select an account using the ALL dropdown. Account Activity The Activity page can be viewed for a single account or for all of your accounts at one time. The search box on the left allows you to search for activity by a specific symbol, and checking the Options box allows you to search for Options through several different criteria. The Search function on the right allows you to search for activity within one account or all of your accounts, and allows you to select a timeframe in which to search. The columns on this page can be customized in several ways to fit a user s needs, from dragging and dropping the columns into a preferred order to selecting which columns can be added or removed through the Customize selection on the right side of the page. Note: This page can be exported as a CSV report. Balances The Balances page displays high-level and detailed balance totals for a specific account or all of your accounts. At the top of the page is a graphical representation of your total Cash Available, Market Value, Total Account Value, and Trading Power. Below that section is detailed balance-level breakdowns of your Cash Available, Requirements and Buying Power, as well as Cash, Margin and Short balances in the account(s). 12
To view Balances related information for a specific account, select an account using the ALL drop-down. Positions The Positions page shows detailed information on all of the holdings you have in your accounts or a specific account, broken down by asset type (Cash & Cash Equivalent, Bonds, Equity and Mutual Funds). The columns on this page can be customized in several ways to fit a user s needs, from dragging and dropping the columns into a preferred order to selecting which columns can be added or removed through the Customize selection on the right side of the page. Note: The data can be exported into a CSV file. Note: This page can be exported as a CSV report. 13
Portfolio The Portfolio screen provides Unrealized Gain/Loss information for the holdings within an account or group of accounts, which can be selected in the All Accounts section on the top right of the screen. At the top of the screen is a graphical view of the total Short-Term UGL (unrealized Gain/Loss), Long-Term UGL, and Total UGL within the account(s) in view, and below is a further breakdown of the UGL associated with the holdings within that account(s). The columns on this page can be customized in several ways to fit a user s needs, from dragging and dropping the columns into a preferred order to selecting which columns can be added or removed through the Customize selection on the right side of the page. Note: This page can be exported as a CSV report. Gain-Loss The Gain-Loss screen provides Realized Gain/Loss information for the holdings within an account or group of accounts, which can be selected in the All Accounts section on the top right of the screen. At the top of the screen is a graphical view of the total Short-Term GL (Gain/Loss), Long-Term GL, and Total GL within the account(s) in view, and below is a further breakdown of the GL associated with the holdings within that account(s). The columns on this page can be customized in several ways to fit a user s needs, from dragging and dropping the columns into a preferred order to selecting which columns can be added or removed through the Customize selection on the right side of the page. 14
Note: This page can be exported as a CSV report. Account Profile The Account Profile page displays name and address information for a specific account when selected, as well as ACH Instructions for a specific account and account-level agreements, settlement Instructions and option trading settings. Online Documents The Online Documents page can be used to view Statements, Confirms, and Tax Documents for either a specific account or group of accounts. You can choose to view either only recent documents in each section or all available documents, and can search for a specific document by date range. 15
E-delivery Enrollment & Investor Mailbox The E-Documents and Investor Mailbox functions provide a single location for investors to view their transactions and shareholder-related information within the trading system. All documents, whether sent to the account owner via e-delivery or postal delivery, are delivered to the investor mailbox on the firm's website. Investors subscribing to E-Documents provide a personal email address that the firm uses to send notices. The documents that can be e-delivered are Semi- Annual Reports, Annual Reports, Proxies, Fund Prospectuses, Statements and Confirms. Viewing Orders Details Order details in the Orders functionality can be fetched by entering details like the start date and end date of the order, also by selecting from the available types of orders in the drop down. The available types of options to select under the drop down are: All Orders Open/Pending Orders Executed Orders Rejected/Cancelled Orders 16
By default, the following information is displayed in your search results: Order ID Account Symbol Orig. Quantity B/S Quantity Exec. Price Status Duration Price Exchange order ID Open/Closed Date Commission Action Order Received Note: The customize option on the screen helps you add or remove the columns. Viewing Research Details The Research module is used to view your watchlists and make edits or changes to them if need be. From any particular watchlist you can add or remove a symbol, and can click on a symbol to bring up the quote detail window for that particular security. Watchlists can be added to or edited by clicking on Add or Edit within the title tile for a particular watchlist on the left of the page. You can also create a new watchlist by clicking on Add Watchlist on the top right corner of the page. 17