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
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