ACCOUNT MANAGER/SPREADSHEET INSTRUCTIONS/ Dayna Adams

UPDATED May 10, 2011 8:00 am EDT

Pre Download

Search for Missing Accounts in Account Manager: Make sure as many of your accounts are in Account Manager BEFORE you download. : (It will take 24 hours to see the missing accounts added in AM). At this time do not “clean up or make changes” to the records in account manager.

Generate Initial Spreadsheet from SAI:

·  In Account manager choose the search option “All Records” & “Open Accounts” Then press SEARCH

·  After the client list is displayed click on the icon “Display Columns” Highlight everything in the pop up box under the “selected” window box

·  Click this will put all column choices back into the “available” window box

·  Press the CTRL key on your computer and click on the following column choices that are now in the “Available” window box:

HouseHold

Short Name

Last Name

First Name

MI

Reg Type

Account #

Sponsor Company

Contract/Product

SSN/TaxID

Birthdate

Primary Contact Address

City

State

Zip

Daytime Phone

Email

Account Value

Est Net Worth

Liq Net Worth

Source Detail

Inv Objective

Inv Exp Mut Funds

Inv Exp LPs

Inv Exp VAs

Inv Exp Stocks

Inv Exp Bonds

Inv Exp Options

Joint Holder Name

·  Once all of the selected column choices are highlighted release the CTRL key and press the which will place all of the column choices into the “selected” window box.

·  To the right of that box use the Up/down arrows and arrange the choices in the order listed in #4. (Ex. Highlight “HouseHold” click on the arrow up button until it is at the top of the list)

·  After all of the column choices are in the correct order, click “apply” and exit the popup box, account manager will automatically reload your client list showing only the column choices selected.

Those with multiple reps will need to do this for each rep and make a separate spreadsheet for each individual.

** we need to find out from LPL how split codes are input and from B2B how they actually process the spreadsheets based on that there might be a different way to generate the spreadsheet for this.**

·  Click icon this will download the accounts into a spread sheet. You will need to immediately save the spreadsheet by using the “save as” command. When the pop up box is shown Type the name under which you would like to save the document and then click the “Save as Type” button to view the choices as to what type of document to “save it as” then choose Excel 97-2003 Workbook. (this will make the document more compatible)

·  Correct errors, add any missing information & if necessary, delete any closed or zero balance accounts that will not be transferring. Make sure to have your spreadsheet updated with all current data. (Suggestion: Save the document at a read only document, the next time you open the document to work on updating it you will HAVE to save it as a different name). (Ex. 11.05.02.v1, 11.05.03.v2 etc) This will ensure none of your data will be lost and you can go back to earlier versions if an accident happens.

** Instructions for additional columns mirroring the B2B spreadsheet will be sent out 5/10/11.

*** Instructions on arranging the columns and columns that can be deleted will be sent out TBD.

**** Instructions for migrating your spreadsheet data into the B2B spreadsheet will be sent out TBD.

ADD THE FOLLOWING COLUMNS& HEADINGS TO YOUR SPREADSHEET

Added May 10, 2011

Keep in this order – we will move columns later ** CHANGES WILL BE MADE** for now begin gathering the information for these new columns

Advisory Platform

ACH Account Features

RMD DISTRIBUTION Account Features

PERIODIC DISTRIBUTION Account Features

PERIODIC CONTRIBUTION Account Features

CHECKING Account Features

MARGIN Account Feature

OPTION Account Feature

PRIMARY Country of Citizenship

PRIMARY Residency Status

Annual Income (from all sources)

Federal Tax Bracket

Employment Status

Employer Name

Employer Address

Employer City

Employer State

Employer Zip

Occupation (former if retired)

Industry

ID Type

ID Number

ID Place of Issuance

ID Issuance Date

ID Expiration Date

Under SEC Rule 144 or 10% Shareholder

PRIMARY Beneficiary Designation

PRIMARY Beneficiary Name

Relationship

SSN/TaxID

Date of Birth

Share %

PRIMARY Beneficiary Designation

PRIMARY Beneficiary Name

Relationship

SSN/TaxID

Date of Birth

Share %

CONTINGENT Beneficiary Designation

CONTINGENT Beneficiary Name

Relationship

SSN/TaxID

Date of Birth

Share %

CONTINGENT Beneficiary Designation

CONTINGENT Beneficiary Name

Relationship

SSN/TaxID

Date of Birth

Share %

CONTINGENT Beneficiary Designation

CONTINGENT Beneficiary Name

Relationship

SSN/TaxID

Date of Birth

JOINT HOLDER First Name

MI

Last Name

Residence Address

Residence City

Residence State

Residence Zip Code

Daytime Phone

Home Phone

SSN/TaxID

Date of Birth

Country of Citizenship

# of Dependents

Employment Status

Employer Name

Employer Address

Employer City

Employer State

Employer Zip

Occupation (former if retired

Industry (former if retired

JOINT HOLDER ID Type

Joint Holder ID Number

JOINT HOLDER ID Place of Issuance

JOINT HOLDER ID Issuance Date

JOINT HOLDER ID Expiration Date

Under SEC Rule 144 or 10% Shareholder

INCOME Distribution Gross Amt

INCOME Distribution Frequency

INCOME Distribution Pmt Method

INCOME Distribution Fed Tax %

INCOME Distribution State Tax %

REP NUMBER

ADVISOR NAME

INSTITUTION/DBA NAME

DBA STREET ADDRESS

DBA CITY

DBA STATE

DBA ZIP