adviceworks job aid

ADVICEWORKS JOB AID Individual or Joint Accounts

SEP 2021 For broker dealer use only. Not for use with the public. Cetera Financial Group • 200 North Pacific Coast Hwy, Suite 1200 • El Segundo, CA 90245

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ADVISOR PORTAL: Individual or Joint Accounts

Description Open Individual or Joint accounts for Brokerage, Advisory, and Direct Business product/platforms. AdviceWorks uses pre-populated data to speed through account setup and client requests. The intuitive screens include validations to streamline the process. Open multiple accounts with multiple registration types, for multiple people, on one single account opening event in AdviceWorks. Select from a list of forms which can be completed and included with account paperwork. This digital process saves time, reduces errors and delivers a better experience for you and your clients. It reduces paper and the time needed to open and fund accounts; decreasing costs associated with delays.

Important to Know

Available for CA, CAN and CFS broker dealers only. Review and update contact record information for all owners of all accounts you will be opening. Completed My Advice Architect (MAA) proposals can be imported into Advisory accounts. You will have the option to household accounts for advisory billing and reporting purposes. A client signed householding form will be required. Additional account features and funding options can be bundled with a new account opening event. Individual and Joint account opening forms have been fully integrated into AdviceWorks with eSignature capability. Clients do not need to be an AdviceWorks Client Portal user for you to open accounts for them. Track all account opening service requests in the Client Servicing Dashboard on the Advisor Portal home page



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Open an Individual or Joint Account

1. Search for your contact record.

2. Select your contact record.

3. From the contact record, click Open

New Account.

4. Verify the cell phone and email for

the contact. Click Edit to edit the contact information. Click Continue.

5. Review and Complete Contact

Information. Scroll down and click Next.

6. In the Event Information, enter: Advisor Event Name Rep Number (includes split reps) Selecting a Rep Number at the event level will “lock” the Rep Number at the account level for new account openings within the same event. AdviceWorks will send an Attestation Email to all financial professionals tied to the Rep Number(s) for the event.

7. Confirm the status of all Owners is Complete. If not, click to edit. Click Add Account.



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8. Enter the Branch Office Number.

9. Select a Product/Platform: Brokerage Advisory TAMPS Mutual Funds (Direct) Annuity (Change of Broker Dealer)

10. For Advisory accounts, select a

Program: Preferred Asset Management Premier Portfolio Management Prime Portfolio Services

11. Enter Account Category:

Non-Qualified

12. Select Account Type: Individual Joint

13. For Joint accounts, select Registration

Type: With Rights of Survivorship Community Property Tenants in Common



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14. Transfer on Death defaults to No.

15. For Advisory accounts, select Client

Authorized Discretion and Householding.

16. Search/Select the Role you are

collecting data for.

17. Review the Owner information.

Click Save.

18. For Joint accounts, click Add New to

add an Authorized Party.

19. For Joint accounts, search/select the

Role of the additional Authorized Party.



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20. For Joint accounts, review the Owner information. Click Save.

21. Confirm the status of all Authorized

Parties is Complete. If not, click to edit.

22. Select the Mailing Address option.

If Yes, additional information will be required.

23. For Advisory accounts, select: Objectives Tolerance Custom Asset Value Tiers

24. Enter the Suitability Info. Annual Income Adjusted Net Worth Liquid Net Worth Liquidity Needs Investment Objective Risk Tolerance Tax Bracket Investment Time Horizon Update Suitability for similar

accounts



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25. For TAMP accounts, enter: TAMP Provider Investment Strategy or Program

26. For Mutual Fund accounts, select a

Fund Family. For Non-Strategic Partners: Select Other (Non-Strategic

Partner) Enter the Non-Strategic Partner

Fund Family name. You will need to manually upload documents required by the Non-Strategic Partners in the ‘Documents’ Section under ‘Not eligible for eSign’.

27. For Mutual Fund accounts, enter the Investment Name and/or Symbol.

28. For Mutual Fund accounts, select

Share Type A Shares: requires Mutual Fund

Class A Share Worksheet. C Shares: requires additional

details.

29. For Mutual Fund accounts, select Wet Sign Change of Rep or Broker Dealer. Yes: Enter Fund Account Number No: You will need to complete the

product company’s change of dealer form, not the Cetera form. - Amount of Purchase - Sales Charge (A Shares only) - Source of Funds (Additional

information will be required)



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30. For Mutual Fund C Share accounts, enter C Share Details. Currently own other C Shares

If Yes, additional information is required.

Charitable or qualified plan If Yes, additional information is required.

31. For Annuity accounts, enter: Annuity Carrier Product Name Policy Number Type of Product Annuitant Name National Producer Number Carrier Agent Number

32. Enter the Office Range.

Does not apply to Direct Business accounts.

33. For FID rep codes, enter the Name of

the Financial Institution.

34. For Mutual Fund and Annuity accounts, enter the Branch Information.

35. Enter the Proceeds Info: Sale Proceeds Dividends/Interest Does not apply to Direct Business accounts.

36. Select Cost Basis. Does not apply to Direct Business accounts.



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37. Select Margin. Does not apply to Direct Business accounts.

38. Select the eDelivery Information. If Yes, additional information will be required. Does not apply to Direct Business accounts.

39. Select Checks and Card Service. If Yes, additional information will be required. Does not apply to Direct Business accounts.

40. Select Other Account Features and Asset Movement. If Yes, additional information will be required. Does not apply to Direct Business accounts.

41. Select the Funding Method(s). If Yes, additional information will be required. Does not apply to Direct Business accounts.

42. For Additional Forms, required documents for the event will display. Does not apply to Direct Business accounts.

43. In the Search Results: Click Add to include additional

optional forms to the event. Click Preview Forms to fill out the

event forms.



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44. Review the Direct Forms. A number of the fields have been pre-filled, but there may be additional information may be required. When finished, click Complete Package.

45. Select Funding Method. ACH Transfer Click Save. Funding Method does not apply to Direct Business accounts.

46. For ACH Funding Method, enter: Use existing instructions Disbursement Contribution Description Amount ACH Details Click Save.

47. For Transfer Funding Method, enter: Transfer Type Transfer Details Delivering Account Information Click Save.

48. Review the Funding Summary.



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49. Review the Request.

50. Click Verify and Return to Case.

If you click Back or Return to Case, the service request will re-map account information on the forms, causing user edits to be lost.

51. Review the Accounts information.

52. If the Administrative Staff requested

the event: Click Request Attestation An Attestation Email will be sent to

all Financial Professionals tied to the Rep Number(s) for the event.

Available for Administrative Staff only.

53. If the Advisor requested the event: Click the Advisor Attestation check

box Click Complete Case Available for Advisor’s only.

54. Review the Documents: For Advisory accounts, you are

required to upload the firm ADV Part 2B.

If ANY document eligible for eSign is uploaded with a wet signature, then ALL documents must be uploaded with wet signature as the Send for eSign button will disappear.



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55. For Wet Signature or Attachments: Wet Signature

- Click to generate the form. - Complete the information on

the form. - Have the client sign the

document. - Upload the signed document to

your device. - Attach the document.

Attachment - Click . - Click Choose File. - Select the file to attach - Click Open. - Click Upload Document. - Click Send for eSign. - The status of the document will

change to Received.

56. After taking the necessary actions on each document, click Send for eSign.

57. Review the eSignature Potential Signers information.

58. For In Person Sign Click to enable In Person sign Click the In Person box Click Update

59. To add additional CC email recipients: Click Add CC Enter the recipient information Click Update The recipient is hardcoded to CC. There is no limit to the number of CC recipients you can add.



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60. Review the eSignature Documents.

61. Review/edit the eSignature Email.

Customize the email subject with verbiage that is beneficial to you or your client. An eSignature email is emailed to the client to give them the opportunity to sign electronically instead of In Person.

62. Review the eSignature Notes. Click Add New Note to add a new note for each signer. Click Send for eSign.

63. Review eSignature Envelope Details.

64. Review eSignature Recipients.

For eSign, when the email has been sent, the status of the form will change to sent.

65. Click Return to exit the current case.

Click Refresh Links to refresh the status of the eSignature Recipients. Click Void to void out the eSign. Emails are sent to the client after 2 days, every 10 days (expires after 30 days) and 5 days before expiration.