Transcript Slide 1

When logging into the Dashboard go to:
https://www.rep-online.com/CFS/Login.aspx?ReturnUrl=%2fcfs%2fdash
board.aspx
Insert your Username and Password and click on the
LOGIN button
This is the opening screen. On the
left you see the different options
you have.
Under MY CUSTOMERS, the first
item lets you know if there are any
customers which need your
attention. These would be
customers missing required
information.
My Orders: This is
where you see the status
of Orders in the system.
If you see orders in
Suspended/Hold, this
means there is a problem
with a client which is
causing an order to be
suspended or held.
My Reports: Your commission
statements, Unpaid Orders, TFA
Blotter and Customer Holdings.
My Total Commissions by Month
shows this year and, if applicable,
last year commissions in a graph
My Pending Orders shows all of
the orders in the system that
haven’t been paid and their status
The next few slides will discuss how to enter a client’s information into
the system. On the Customer Tab, press Add New. To save your work
at any time, press the green check mark button next to Add New.
Please save your work often!
In the Client Information box, enter the client’s first name, initial, and last
name.
The format for the search id is last name first name middle initial
registration. Do not enter any punctuation as that can cause reporting
errors. Below are examples of the most common formats for the search id:
Mouse Mickey
Mouse Mickey IRA
Mouse Mickey SEP
Mouse Mickey SIRA
Mouse Mickey RIRA
Mouse Mickey & Minnie JTWROS
Mouse Mickey FBO Jimmy
(for individuals)
(for IRA)
(for a SEP IRA)
(for Simple IRA)
(for Roth IRA)
(for joint accounts)
(for 529 accounts)
***The search ID for UGMA’s and custodial retirement accounts should be
the person to whom the TIN belongs. In the registration lines, enter the
custodian (Mickey Mouse Cust) and the child (FBO Annie Mouse) on the
first and second registration lines, respectively.
Mickey’s IRA
Mickey & Minnie’s Joint Account
Mickey’s 529 for Pluto
Mickey’s UGMA/UTMA for Pluto
The registration format should be first name, middle initial, last name.
Enter one name per line.
Enter the address to which the client would like correspondence sent.
If using a P.O. Box as the mailing address, you must enter a physical
address in the Alternate Address Information box at the bottom.
The system will tab from the address field to the zip code field. Once
the zip code is entered, the system will populate the city and state
fields. Choose the account type from the drop down menu. Enter the
social security number. Once you tab to the rep field, the social
security number will be replaced by asterisks to fulfill Reg S-P
requirements.
Use the drop down menu on either Rep Search ID or Rep Number to
locate the correct rep.
Phone and Account Information
Enter the client’s pertinent phone numbers.
In the Account Information box, choose the Class and
Status from the drop down box. The most often used
Status is Active. Fill in the date of the New Account Form.
If the account has a Restricted Status i.e. the client is a
bank employee or a FINRA representative, choose that
from the box.
Patriot Act/Citizenship Information
Use the drop down boxes for the Clearance Type, ID Type, and ID
Issuer. Enter the ID Number. Enter the dates issued and/or expires.
Enter the name of the person who looked at the client’s id in the
Cleared By box and the date.
Choose the client’s Citizenship Status from the drop down. If he/she
is not a citizen, fill in the other Citizenship boxes.
Choose the Resident state from the drop down.
OFAC Information
You must run an OFAC check on each client in a registration. The
OFAC screen is shown below without any information.
First, you must check the client’s OFAC report. Press the blue
OFAC Internet Lookup at the bottom of the box. This will initiate
the FINRA OFAC site as shown in the next screen shot. Enter the
name(s) of the clients. Choose all of the words from the drop down
menu and push submit query. Hopefully, your clients will have zero
hits. If your client shows a positive hit, you must report it to the
Compliance Officer.
The next slide shows and example of the OFAC Lookup screen
Next you need to print this page to a pdf. Push file/print, choose
adobe pdf and push print. The computer will prompt you for a file
name. Name the file OFAC and save it to your desktop to be imaged
later.
Attaching Images
You can attach images at any time but you must be in the customer
to whose account you want to attach the image. Press Image in the
pane at the left of the screen to bring up the Image screen.
Press Add New Item at the top of the screen. Choose the
document type from the drop down box. Type whatever title
information desired in the next box. Press the green check mark
to the left of the drop down box.
Press select. Press upload new.
Use the select button to browse to the location where you saved
your image. Press upload.
Next, fill in the OFAC tab. Use the drop down to find the FINRA
Online SDN Lookup. In the Checked By field, enter the name of
the person checking it. Enter the date you checked it. After you
check it, you should enter Not Found from the drop down in the
Results box. Again, if the client is found, report it to the
Compliance Officer.
Financial and Bank Information
In the Financial Information box, the dates requested
are the date of the new account form or the date the
financial information is subsequently updated. Fill in
the rest of the information by either typing the
information or using the drop downs.
The Bank Information box is self-explanatory.
Employer Information
The Employer Information is self-explanatory. However, if the client is
Retired, type that in and include what they retired from. For example:
Retired – School Teacher, Retired - Doctor
The next slides will discuss how to enter orders into the system. Click
On the Orders Tab, press Add New. To save your work at any time,
press the green check mark button next to Add New.
Enter Order Type and Purchase Code
Enter Customer Info from dropdown arrow or by typing last name of client.
Once you enter the client info it will automatically populate the Representative & Customer Info
Enter Product Information by typing the name of product or using
dropdown menu to search.
Nothing in the General Info area needs to be populated.
In the Amounts area enter Investment Amount and click the
green check mark button to save the order.
The next few screens show all of the customer fields. The fields highlighted in
YELLOW are required fields. If you don’t fill in the missing data, the account will be
held and no commissions will be paid.