- View Account Information
- Edit Account Information
- Choose Which Sections to Display
View detailed information about a National Financial Services LLC (NFS) brokerage account to which you are authorized. The details that display differ based on the account selected. Information about a new account is available directly following approval of the new account setup.
Information on Account Profile is grouped by sections. All sections that you are entitled to access are listed in the left panel on the window. The current state of a section is determined, as follows:
If you already chose which sections to display upon opening Account Profile, those sections open by default. Open sections display in the sequence shown in the left panel, which cannot be changed.
Search for an account.
In the Menu column, select the arrow and choose Account Profile.
Do the following to manage the display of Account Profile sections:
- To open a section, select its section name.
- To open all sections, select Open All.
- To expand or collapse an open section, select its + or - icon.
- To temporarily remove an open section, select its x icon.
If entitled, links on the window indicate just where editing is possible. You may enter edits across one or more Account Profile sections at a time. Your edits occur real-time. Some account edits generate Revised Account Profiles (RAPs)
For information about forms required when changing account information and the correct processing of those forms, refer to the Policies & Procedures (OLR) in WealthscapeSM.
To edit a specific section, select its Edit link.
or
To edit all sections, in the left panel, select Edit All.
Eligible fields become editable in either one or all sections.
Enter your changes.
Some special characters are not allowed.
Choose which sections to display upon opening Account Profile. Selections can include none to all available sections. Sections not chosen to display remain listed in the left panel where you can select them when ready to open. Note that a selected section only displays if applicable to the account.
The following sections open by default, which you can change:
- Account Setup
- Account Holders
- Account Characteristics
- Account Agreements
Above the window, select the Customize (gear) icon.
Do the following:
To add a section, in the Available Sections box, select a section name. Use the Shift and Ctrl keys to select multiple names. Select Add.
To remove a section, in the Selected Sections box, select a section name. Use Shift and Ctrl to select multiple sections. Select Remove.
Select Save & Apply.
Note
To return displayed sections back to the system default, select Reset to Default.
Some fields may display these common values:
- Account Setup
- Account Holders
- Account Characteristics
- Account Agreements
- Beneficiaries
- Authorized Traders
- Interested Parties
- Additional Stakeholders
- Account Features
- Managed Account Product
- Suitability
- DVP/RVP Instructions
- Affiliated Bank Information
Account Setup displays overall characteristics of the account.
At the account level, the mailing address can be, but does not have to be, the same as the mailing address of the primary account holder. View separate mailing and legal addresses for secondary account holders in the Account Holders section. A legal address is captured for each account holder according to the Customer Information Program (CIP) requirements.
| Field | Definition |
|---|---|
| Abandoned Property Date | The date that unclaimed or abandoned property is escheated to the state in DD-Mmm-YYYY format, if applicable. |
| Agency | The code of the agency associated with the account. |
| B&R Mail | Indicates whether a subset of Revised Account Profiles (RAPs) go to the account-level mailing address or to the mailing addresses of each individual account holder. Note that certain RAP-generating events go to the mailing address of all account holders, regardless of this setting. Yes
|
| Class Code | The class code description assigned to the account, followed by the associated code in parentheses. |
| Day Phone | The phone number where the primary account holder can be reached during the day. |
| Employee Indicator | The type of employee account or employee-related account: No Not an employee or employee-related account
|
| Establishment Date | The date on which the account was set up and approved in DD-Mmm-YYYY format. |
| Evening Phone | The phone number where the primary account holder can be reached during the evening. |
| FBSI Short Name | The short name assigned to the account. |
| Fiduciary Approach | The Department of Labor (DoL) status assigned to the account. It identifies how the account will be serviced in order to help comply with certain responsibilities applicable to fiduciaries under applicable law (e.g., Department of Labor). |
| Fiduciary Approach Date | The date when the status was entered into the system in DD-Mmm-YYYY format. The content is system generated and cannot be edited. |
| Last Maint. Date | The last date on which a change was entered to the account information in DD-Mmm-YYYY format. |
| Last RAP Date | The date the last time a Revised Account Profile (RAP) or New Account Profile (NAP) was sent on the account in DD-Mmm-YYYY format. |
| Legal Address | The primary account holder's legal address, which cannot contain a P.O. Box. If the primary holder's mailing address is the same as the legal address, only one address displays. |
| Mailing Address | The address to which the primary account holder wants mail delivered, which can include a P.O. Box. |
| Managed Account | Indicates whether the account is a managed account and trades may be eligible for load waivers offered by mutual fund companies: Yes
|
| MMKT Account Designation | Indicates whether the account is designated as a Retail or Institutional account. |
| NOBO Indicator | (Non-Objecting Beneficial Owner) Indicates whether the account holder objects to receiving shareholder solicitations for securities held in the account: Yes Do not send shareholder solicitations.
|
| Product Level | The product offering in which the account participates. |
| Product Subtype | The feeEngine participation status of the account: Advisory (A)
|
| Registration | The registration type of the account (e.g., Individual, Corporation, or Roth IRA), followed by the associated code in parentheses. |
| Regulatory Code | For a proprietary account, the two-character regulatory code that classifies the account for regulatory purposes. |
| RR1 | The code of the first registered representative assigned to the account. |
| RR2 | The code of the second registered representative assigned to the account. |
| Seasonal Address | The seasonal address to which the account holder wants mail delivered, which can contain a P.O. Box. The time period that this address can be used cannot exceed 180 days. |
| SIMPLE Plan Establishment Date | The date on which the SIMPLE Plan Account (SMPL) was set up and approved in DD-Mmm-YYYY format. |
Account Holders displays information related to up to 8 account holders related to the account. The primary account holder is listed first; (Primary) displays After the name. The number in parentheses following the section label indicates the number of account holders.
- Account Holders
- Securities Industry Affiliations
- Trusted Contacts
- Employer and Affiliation Information
| Field | Definition |
|---|---|
| Country of Citizenship/Organization | For registrations identified as nonentities, the country of citizenship of the account holder. or For registrations identified as entities, the country of organization, which indicates the country to which the entity owes its allegiance. |
| Date of Birth (Age) | The date of birth of the account holder followed by the calculated age of the account holder in parentheses. Note
|
| Date of Death | The date of death of the account holder in DD-Mmm-YYYY format, if applicable. |
| Date of Trust | For Trust Under Agreement; the date the trust became effective in DD-Mmm-YYYY format. |
| Day Phone | The phone number where the account holder can be reached during the day. |
| Driver's License # | The driver's license number of the account holder. The contents of this field are masked; only the last four numbers display. |
| The email address of the account holder. | |
| Evening Phone | The phone number where the account holder can be reached during the evening. |
| Holder | If Name Type is Person, the first, middle, and last name of the account holder. |
| Legal Address | The account holder's legal address, which cannot contain a P.O. Box. If the primary holder's mailing address is the same as the legal address, only one address displays. |
| Mailing Address | The address to which the account holder wants mail delivered, which can include a P.O. Box. |
| Minor's State of Residence | If a custodial UGMA/UTMA account; the state or territory in which the account holder resides if the account holder is a minor. |
| Name Type | The type of account holder: Entity
|
| Relationship Type | The relationship type between the account holder and the account, followed by the associated code in parentheses. |
| SSN/TIN | The Social Security number or tax identification number of the account holder. The contents of this field are masked; only the last four numbers display. |
| State of Issuance | The name of the state, along with its two character abbreviation, that issued the driver's license to the account holder. |
Securities Industry Affiliations displays each account holder's professional affiliation or employment information related to an affiliated entity, if applicable.
| Field | Definition |
|---|---|
| 3210 Affiliation | If employed, indicates whether the account holder is professionally affiliated with, or employed by, one of the following: member or nonmember broker-dealer, national or regional stock exchange, bank, trust company, or insurance company. Yes
|
| 3210 Permission | If employed, indicates whether the account holder is professionally affiliated with, or employed by, one of the following entities: Member or nonmember broker-dealer
|
| 407 Affiliation |
Indicates whether the account holder is professionally affiliated with, or employed by, one of the following: member or nonmember broker-dealer, national or regional stock exchange, bank, trust company, or insurance company. Yes
|
| 407 Permission Type |
The type of features the 407 company allows employees to have: Allows Cash Only (C)
|
| Address | The address of the entity with which the account holder is employed or affiliated. |
| Company | The name of the entity with which the account holder is employed or affiliated. |
| Comments | Comments related to the affiliation that were provided by the account holder. |
Trusted Contacts supports Trusted Contact (FINRA Rule 4512) and Financial Exploitation of Specified Adults (FINRA Rule 2165) that address the suspected financial exploitation of seniors and other vulnerable adults. It displays information related to up to 2 trusted contacts related to the account. These contacts are labeled Primary Trusted Contact and Alternate Trusted Contact. The number in parentheses following the section label indicates the number of trusted contacts that are specified for the primary account holder.
| Field | Definition |
|---|---|
| Day Phone | The phone number where the trusted contact can be reached during the day. |
| The email address of the trusted contact. | |
| Evening Phone | The phone number where the trusted contact can be reached during the evening. |
| Legal Address | The legal address of the trusted contact, which cannot contain a P.O. Box. |
| Name | The name of the trusted contact in Last Name, First Name format. |
| Relationship to Holder | The relationship of the trusted contact to the primary account holder: Aunt/Uncle
|
If the primary account holder has a professional affiliation or is employed by an affiliated entity, this section displays information about the entity and its relationship to the account holder.
| Field | Definition |
|---|---|
| 3210 Affiliation Type | The type of firm with which the primary account holder is affiliated: Bank (B)
|
| 407 Affiliation Type | The type of firm with which the primary account holder is employed or affiliated: Bank (B)
|
| Company Name | If the primary account holder is a control person or affiliate, the full name of the public company. |
| Control Relationship |
Indicates whether the primary account holder or an immediate family or household member is a control person or affiliate of a public company under SEC Rule 144: Director (D)
|
| Employer Address | The address of the entity with which the account holder is employed or affiliated. |
| Employer Name | The name of the entity with which the account holder is employed or affiliated. |
| Occupation | If employed, the current occupation of the primary account holder. |
| Status | Indicates how the primary account holder responded to Employment and Affiliation questions: Asked and Answered (A)
|
| Symbol/CUSIP | If the primary account holder is a control person or affiliate, the CUSIP number or market symbol of the public company. |
Account Characteristics displays information related to attributes of the account based on established settings or agreements.
| Field | Definition |
|---|---|
| Core Sweep/Fund | The symbol of the core fund security (e.g., FCASH), which is the interest-bearing investment vehicle used for settling transactions and holding credit balances. This account receives all non-reinvested income generated by securities held in the account (interest, dividends, mutual fund distributions). Income in this account accrues until paid out according to instructions. |
| Cost Basis Disposal Method | The mnemonic and description of the cost basis disposal method for the account; FIFO-First-In, First-Out is the default. The disposal method is the account's default method to choose lots for sells that did not specify lots at entry. |
| Commission Disc % | If eligible for a commission discount, the percent of that discount, which cannot exceed 100%. |
| Commission Type | The security types in which account trades are eligible for a commission discount: Bonds Only (B)
|
| Do Not Purge | Indicates whether the account should not be purged if or when it meets the purge criteria: No Purge the account if or when it meets the purge criteria.
|
| International |
Indicates whether the account is enabled for international trading. Yes Account is currently enabled for international trading.
|
| Omnibus Account |
Omnibus accounts, otherwise known as pooled accounts, are defined as a single account that pools the holdings of more than one beneficial owner, whose identity is not disclosed to Fidelity, who has the ability to affect transactions, and for which sub-accounting is performed by the omnibus account holder or a third-party. This may include, but is not limited to, retirement plans, bank pooled accounts, and wrap programs. Applies to the following registration types: Administrator, Bank, Corporate, Fiduciary, Limited Liability Corporation, Non-Prototype, Non-Prototype IRA, Professional Association, Professional Corporation, and Trust Under Agreement. An Omnibus Account Certification Form must be on file with Fidelity for your firm to code accounts with the values 01, 02, and 03. Not an Omnibus Account: FBO Required (01)
|
| Plan ID | For trust accounts; the five-digit identifier for the Administrative Trustee Services (ATS) plan. |
| Platform Source | The platform used to manage the account, if applicable: eMoney
|
| Platform Source | The platform used to manage the account, if applicable: eMoney
|
| Preferred Level | The preferred customer code: Platinum
|
| Product Class | Identifies whether the account participates in a 529 plan or is managed: 529 College Savings Plan
|
| Schedule Code | The two-digit code that identifies the commission table used to calculate commissions for the account. |
| Trust Services (ATS) |
Indicates whether the primary account holder is a participant in Administrative Trustee Services: Yes
|
| Wealthscape Performance Measurement | Indicates whether the account is enabled or disabled for Wealthscape Performance Measurement: Enabled
|
| Document Delivery Instructions
Available if your firm participates in the eDelivery service. |
|
| Document Delivery Instructions | Indicates how the account holder wants participating documents delivered, where entitled: - Confirms/Confirming Prospectuses
U.S. Mail
|
| The email address of record used to notify when an account's documents are available online. Regardless of how many email addresses are associated with the account, only one address can be elected as the email address of record. The email address of record is sent 1) the Click to Agree email and 2) email notifications when documents are available to view. | |
| Asset Instructions | |
| Dividend/Capital Gains | Indicates how to distribute the account's dividend income: Pay Weekly (1)
|
| Proceeds from Sales | Indicates what to do with the cash proceeds of a security sale: Remit Proceeds (1)
|
| Security Purchases | Indicates what to do with the physical securities when purchased in the account: Transfer & Ship Client (1)
|
Account Agreements displays the status of various forms, paperwork, or agreements associated with the account.
| Field | Definition |
|---|---|
| Additional Paperwork |
The status of any additional paperwork associated with the account. Applies to the following registration types: Investment Club, Partnership, Joint with Rights of Survivorship, Joint Community Property, Joint Tenants in Common, Joint Tenants in Entirety, Corporation, Trust Under Agreement, and Estate Executor. Papers On File (Y)
|
| Application |
The status of the new account application: Converted IRA Account (C)
|
| Asset Movement Authorization |
The type of requests you can initiate on your customer's behalf without paperwork. Note
|
| Corporate Tax Status |
For accounts with a Corporation or LLC registration type; the corporation's tax status: Not Applicable
|
| Country of Tax Residence | The country where the organization or primary account holder claims to be a resident for that country's income tax. |
| Discretionary Margin | Indicates whether the account is set up to carry both a cash balance and a margin debit balance at the same time (discretionary margin), instead of immediately paying down any margin debit from available cash: No
|
| Exempt Payee Code | If account is exempt from backup withholding, the reason for the exemption: 501(a), 403(b)(7), or 401(f)(2) (01)
|
| LOI Agreement | Indicates whether a Letter of Intent (LOI) Agreement is on file at NFS: Not On File (N)
|
| Margin Agreement | The status of the Margin Agreement paperwork if the account holder requested margin borrowing: Papers On File (1)
|
| Multi-Margin Model | If account is a member of a Multiple Margin Relationship, the multiple margin calculation method used by the account: Aggregated
Distributed
|
| Non Purpose Loan Agreement | The status of the Non Purpose Loan Agreement on file, if applicable: Not On File (N)
|
| Non Purpose Loan Approved Amount | The most recently approved amount available on the non-purpose loan, if applicable. |
| Option Agreement | The status of the option level paperwork if the account holder requested options trading: Papers On File (Y)
|
| Option Level | The option trading level that indicates the types of option trading approved for the account. |
| P-Notice | For a retirement account; the status of the name/TIN mismatch letter sent to the account holder if the account is subject to a P-Notice (account holder name or TIN does not match information in the Social Security Administration or IRS files). Mailed (M)
For additional information about P-Notices, refer to Policies & Procedures (OLR) in Wealthscape. |
| P-Notice Date | For a retirement account subject to a P-Notice; the date the P-Notice was last updated, in DD-Mmm-YYYY format. |
| Portfolio Margin Agreement | The status of the Portfolio Margin paperwork, if applicable: Not On File (N)
|
| Prime Broker | The status of the Prime Broker Agreement on file: Pending Investment Advisor (0)
|
| Security Lending Agreement | The status of the Master Securities Lending Agreement (MSLA) of an account enrolled in the Fully Paid Lending Program: Papers On File (Y)
|
| Tax Certification | The tax filing status of the primary account holder. Codes vary based on registration. US Citizen
|
| W-8 Certification Date | The date of the tax certification in DD-Mmm-YYYY format. |
| W-8 Form | The form the account holder used to establish foreign status, beneficial ownership of income, or to claim reduced withholding tax benefits provided by tax treaty: W8 BEN (1)
|
Beneficiaries displays if the registration type of the account supports survivor or 529 beneficiaries. It contains information related to up to 100 beneficiaries related to the account. The number in parentheses following the section label indicates the number of beneficiaries.
Note
Displays only one 529 beneficiary.
| Field | Definition |
|---|---|
| % of Share | The percentage of the account balance to which the beneficiary is entitled, up to 100%. All percentages must add to 100.00. |
| Beneficiary | The full name of the beneficiary. Note
|
| Beneficiary Type | The beneficiary type: None (N)
|
| Contact | If Legal Heir is Per Stirpes; the name of the executor or other contact for the account. If the contact is unavailable, the contact will default to the executor. |
| Date of Birth (Age) | If beneficiary is a spouse or non-spouse, the date of birth of the beneficiary in DD-Mmm-YYYY format, followed by the calculated age of the beneficiary in parentheses.
or If beneficiary is a trust, the date the trust becomes effective in DD-Mmm-YYYY format. |
| Designation |
The status of receipt of the required beneficiary application: Rejected (R)
|
| Legal Heir |
If beneficiary is a spouse or non-spouse; how shares of the account will be distributed to the designated beneficiaries: Per Stirpes (S)
Note
|
| Relationship to Account Holder |
The relationship of the beneficiary to the account holder: Spouse (S)
|
| SSN/TIN | The Social Security number or tax identification number of the beneficiary. The contents of this field are masked; only the last four numbers display. |
| Status | The outcome of the beneficiary application: Transit (T)
|
Authorized Traders displays information related to up to 99 authorized traders specified for the account. The number in parentheses following the section label indicates the number of authorized traders.
| Field | Definition |
|---|---|
| Address | The address of the authorized trader. |
| Authorized Trader | The full name of the individual authorized by the primary account holder to place orders. |
| Country of Citizenship | The country of citizenship of the authorized trader. |
| Date of Birth (Age) | The date of birth of the authorized trader in DD-Mmm-YYYY format, followed by the calculated age of the authorized trader in parentheses. |
| Relationship Type |
The authorized individual's level of trading authority: Advisor (A)
|
| SSN/TIN | The Social Security number or tax identification number of the authorized trader. The contents of this field are masked; only the last four numbers display. |
Interested Parties displays information related to up to 10 parties associated with the account. The number in parentheses following the section label indicates the number of interested parties.
| Field | Definition |
|---|---|
| # of Confirms | The number of confirmations to send to this interested party, up to 6. |
| # of Statements | The number of statements to send to this interested party, up to 6. |
| Address | The mailing address where the confirmation and/or statement should be delivered.
|
| Country | The country in which the interested party resides. |
| Name | The name of the interested party. This name will display on the mailing address. |
Additional Stakeholders displays information related to up to 60 additional stakeholders associated with the account. The number in parentheses following the section label indicates the number of additional stakeholders. The Relationship Type and associated code display for each designated stakeholder.
| Field | Definition |
|---|---|
| Address | The address of the stakeholder.
|
| Beneficial Ownership Percentage | For relationship types CNTL, EOWN, ST02, and ST03; the percent of the customer's ownership interest in the account, up to 100%. |
| Citizenship Status |
The United States citizenship status for the stakeholder: US Citizen (01)
|
| Company Name | If the stakeholder is an entity; the name of the institution that is an account stakeholder. |
| Country | The country in which the person or entity is located. |
| Country of Citizenship | If the stakeholder is a person, the country of citizenship of the account stakeholder.
or If the stakeholder is an entity, the country of organization, which indicates the country to which the entity owes its allegiance. |
| Date of Birth (Age) | If the stakeholder is a person; the date of birth of the stakeholder in DD-Mmm-YYYY format, followed by the calculated age of the stakeholder in parentheses. |
| Government ID Type | The type of government identifier: Driver's License
|
| ID Expiration Date | The date on which the Government ID is set to expire. |
| ID Issue Date | The date on which the Government ID was issued. |
| ID Number | The number of the Government ID, up to 30 characters. |
| Name Type | Indicates whether the account stakeholder is an institution (Entity) or a person (Person). |
| Relationship Type |
The relationship between the stakeholder and the account: Authorized Agent (ST01)
|
| SSN/TIN | The Social Security number or tax identification number of the stakeholder. The contents of this field are masked; only the last four numbers display. |
| Stakeholder | If the stakeholder is a person; the first, middle, and last name of the account stakeholder. |
| State of Issuance | The state code where the Government ID was issued. |
| Tax ID Type | The type of tax identification number of the account stakeholder. SSN (Social Security number) Applicable to a person.
|
Account Features displays enrollment status for the account.
| Field | Definition |
|---|---|
| # of Signatures |
The number of required signatures for checks associated with this account: 1
|
| Checkwriting |
Indicates whether checkwriting is established on the account: Yes
|
| Debit/Credit Card | Indicates whether the account has a debit or credit card associated with it: Yes
|
| Last Reorder # | The number of the last check that was ordered. |
| Last Reorder Date | The date the most recent batch of checks was ordered. |
Managed Account Product displays information related to the managed product with which the account is associated.
- Investment Manager
- Mailing Instructions
- Managed Account Program
| Field | Definition |
|---|---|
| Duplicate Confirms | Indicates whether duplicate trade confirms should be sent to the manager: Yes
|
| Duplicate Statements | Indicates whether duplicate brokerage statements should be sent to the manager: Yes
|
| Managed Product | The name of the investment manager and specific product discipline. |
| Manager ID | The nine-character ID that identifies the manager of the managed account program. |
| Program | The full name of the investment program. |
| Field | Definition |
|---|---|
| Additional Mailings | The delivery instructions for any other mailings: Manager
|
| Annual Reports & Prospectuses | The delivery instructions for annual reports and prospectuses. Manager
|
| Corporate Actions | The delivery instructions for notices of corporate actions: Manager
|
| Proxy Materials | The delivery instructions for proxy instructions: Manager
|
| Field | Definition |
|---|---|
| Duplicate Confirms | Indicates whether duplicate trade confirms should be sent to the manager: Yes
|
| Duplicate Statements | Indicates whether duplicate brokerage statements should be sent to the manager: Yes
|
| Role Description | The description of the Turnkey Asset Management Program (TAMP) investment program. |
| Role ID | The two-digit indicator assigned to the Role Description. |
| TAMP Name | The nine-character ID that identifies the name of the Turnkey Asset Management Program (TAMP) with which the account is associated. |
Suitability displays information about the primary account holder's expectations for investment performance and level of sophistication, such as the ability to tolerate risk. Further information includes the primary account holder's financial status and tax status. This information is associated with the account and requested in accordance with Securities and Exchange Commission (SEC) requirements.
Suitability refers to the process of matching an account holder's investment objectives and needs with the appropriate investments.
- Financial Position
- Decision Making
- Investment Profile
- Assets Held Away
- Product Knowledge
- Review Status
Displays the financial requirements of the primary account holder and any associated influencing factors.
| Field | Definition |
|---|---|
| Annual Expenses |
The account holder's approximate annual expenses: $0 to $50,000
|
| Annual Income |
The gross yearly income before taxes, which includes all sources of income, investments, employment, alimony, and so forth, of all account holders: $0 to $25,000
|
| Estimated Net Worth |
The estimate of total assets (excluding primary residence) minus total liabilities (joint accounts indicate the combined value): $0 to $50,000
|
| Federal Tax Bracket |
The amount the account holder's income is taxed for the payment of federal income tax: 0%-15%
|
| Investable/Liquid Assets |
The amount of liquid assets available for investment (joint accounts indicate the combined assets). Liquid assets include cash and any securities and assets that can readily be turned into cash; this does not include real estate holdings or long term investments. $0 to $50,000
|
| Marital Status |
The marital status of the primary account holder: Married
|
| Number of Dependents | The number of dependents for the account holder. |
| Special Expenses |
In conjunction with the Timeframe field, the approximate dollar amount of the account holder's future and non-recurring expenses. If Other was selected, indicates the dollar amount. $0 to $50,000
|
| Timeframe | In conjunction with the Special Expenses field, the approximate time range for which the special expenses apply. 0-2 Years
|
Displays information concerning the way in which the primary account holder makes his or her financial decisions.
| Field | Definition |
|---|---|
| I consult with my broker. |
Indicates that the customer consults with a broker, investment advisor, CPA or other financial professionals in the decision-making process: Yes
|
| I consult with my family/friends. |
Indicates that the customer discusses decisions with family and friends. Yes
|
| I make my own decisions. |
Indicates that the customer generally makes his or her own decisions and/or consults with his or her co-applicants. Yes
|
Displays information concerning the primary account holder's financial knowledge, income needs, and risk exposure.
| Field | Definition |
|---|---|
| General Investment Knowledge |
The account holder's overall level of investment knowledge, based on employment or work experience: Limited
|
| If Combination, Please indicate | In conjunction with the Investment Time Horizon field when Combination is selected, the description of the time horizon combination such as Short/Long, up to 24 characters. |
| Investment Objectives |
The ranking of up to six investment objectives for the account in order of importance (1 being the highest; 6 being the lowest): Preservation of Capital
|
| Investment Purpose |
The primary account holder's purpose for the account, such as retirement, home purchase, college: Accumulate Wealth
|
| Investment Time Horizon |
The amount of time the primary account holder expects to invest funds in the account before withdrawing: Near Term
|
| Risk Tolerance | The account holder's ability to assume investment risk. If Combination, the risk tolerance combination such as Conservative/Moderate. Conservative
|
Displays the dollar amount and associated percentages of other assets the primary account holder held outside of those in the Fidelity brokerage account. The percentages in this section refer to the percentage in the Total Value ($USD) field.
| Field | Definition |
|---|---|
| Enter asset allocation to total 100% | For each listed security product, the percentage of the Total Value of the account holder's assets held away. The percentages must add up to 100. |
| Total Value ($) | The dollar amount of any other holdings of the primary account holder outside of the brokerage account. |
Product Knowledge displays the primary account holder's financial knowledge or the number of years of experience the holder has with the product. There are separate sections for each security product (Stocks, Bonds, Short-Term, Mutual Funds, Options, Limited Partnerships, Variable Contracts, Futures, Annuities, Alternative Investments, Margin, Foreign Currency, Foreign Securities, and Life Insurance).
| Field | Definition |
|---|---|
| Experience |
The account holder's level of investment knowledge about the security product: None
|
| Transactions Per Year |
The number of times each year the account holder trades the security product: 0-5
|
Displays information concerning investment-related end-customer discussions.
| Field | Definition |
|---|---|
| Additional Suitability Information | Comments provided by the end-customer concerning the investment goals that could impact the recommendation. |
| Last Change Date | The date the end-customer's information was last revised in DD-Mmm-YYYY format. |
| Last Review Date | The date the information was last discussed with the end-customer in DD-Mmm-YYYY format. |
| Reviewer ID | The user ID of the last person who provided/updated the end-customer's information. |
| Suitability Status | The account holder's response to the Suitability questions: Asked and Answered
|
DVP Instructions displays instructions for up to 11 product types. The number of instructions on an account is shown in parentheses in the section heading.
An end-customer can select Delivery vs. Payment/Receipt vs. Payment (DVP/RVP) as a payout instruction for securities settlement. This instruction choice uses the Depository Trust and Clearing Corporation (DTCC) to settle securities electronically. The end-customer must complete separate instructions for each product type, such as precious metals, corporate bonds, CDs, and mutual funds.
| Field | Definition |
|---|---|
| Agent Bank # | The five-digit ID of the agent bank. Note
|
| IDC |
The Institutional Delivery Code that indicates whether the account is a DVP/RVP account: 1
|
| ID System # | The five-digit institutional ID number. |
Displays the financial institution and customer bank account number from FBSI BNAM. This information is only used by bank-affiliated firms that settle brokerage transactions by sweeping funds between customer brokerage accounts and identically registered bank accounts.
If bank account balances are obtained through a transmission from a bank-affiliated firm, the description and amount of the balance display adjacent to the bank information; up to 99 balances can display. The balance information displays as transmitted to NFS.
| Field | Definition |
|---|---|
| ABA # | The nine-digit number that identifies the bank as a member of the American Bankers Association (ABA). |
| Balance Amount | The amount of the balance transmitted to NFS. (This field is unlabeled.) |
| Balance Description | The description of the account balance transmitted to NFS. (This field is unlabeled.) |
| Bank Account # | The account number at the correspondent bank to receive cash proceeds. The contents of this field are masked; only the last four numbers display. |
| Bank Account Type |
The bank account type. Checking/Demand Deposit (D)
|
938221.2.0