Account Cartridge

Overview

NOTE:

The account cartridge displays above the various account information screens and is composed of three sections: Account Information, Balances, and Firm and Investments.

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Customizing the Display

NOTE:

You can customize the account cartridge for a Fidelity brokerage account so it displays the information most relevant to your business. You can designate the one or two balances that display in the Balances section and the one or two attributes that display in the Firm and Investments section. You also can set the default view so the account cartridge opens with one of the three sections expanded. The section remains expanded until you select the X icon, select the section, or expand another section. When you view another account, the account cartridge refreshes with the default view expanded.

  1. Select the Customize icon in the account cartridge. The Customize Account Overview pop-up screen displays.
  2. To open the account cartridge with one of the sections expanded, select the Show the expanded view as default checkbox.
  3. Select the associated radio button to choose the section you wish to expand: Account Information, Balances, and Firm and Investments. NOTE: You can make only one selection.
  4. To establish the balance(s) display, make your selections from one or both drop-down lists. The default setting of the first drop-down list is Total Account Value and the second is Cash Avail. to Trade. NOTE: If you do not want to display a balance in one or both of the rows in the Balances section, select None in the drop-down list.
  5. To establish the firm and investments information that displays, make your selections from one or both drop-down lists. The default setting of the first drop-down list is RR1/RR2/Agency and the second is eDelivery Enrollment. NOTE: If you do not want to display a field in one or both of the rows in the Firm and Investments section, select None in the drop-down list.
  6. When your selections are complete, select the Apply button. The Customize Account Overview pop-up screen closes and the account cartridge displays as specified.
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Restrictions

NOTE:

Restriction codes are two-character symbols placed on an account to limit or prevent certain activity based on a set of rules or criteria. These codes are imposed by Fidelity and alert you to account conditions such as closed status or missing paperwork, which may impact your ability to process certain transactions.

Restriction codes fall into the following two categories:

There also are user-defined or custom restrictions that you may impose, such as "Don't Buy EMC" or "Don't Trade AAPL".

Field Definition
Action Msg Indicates the actions that must be taken or not taken until the restriction is removed; for example, RESTRICTED.
Code Displays the two-character code that identifies the restriction. NOTE: See Account Restriction Codes for a list of the possible Fidelity-imposed entries.
Comments Displays any comment related to the restriction on the account.
Dept Displays the department of the individual who added the restriction.
Description Displays the description of the restriction code.
Expiration Date Displays a system-generated date that is only applicable to certain restriction codes with associated expiration dates (e.g., H7: 10 Day Temp Freeze).
Input Date Displays the date the restriction was placed on the account.
Res.Type

Displays the restriction type; options are:

  • Standard: Fidelity-imposed account restriction
  • Custom: User-defined account restriction
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Fidelity Brokerage Account Information

Account Information

Field Definition
Account # Displays the number assigned to the account.
Account Source Displays the source of the account, which is Fidelity Brokerage.
Address Displays the mailing address (up to six lines) for the account. NOTE: There is no label for this field.
Custom Short Name Displays the user-defined short name assigned to the account.
(D) Displays the telephone number where the primary account holder can be reached during the day.
Date of Birth (Age) Displays the date of birth of the primary account holder in MM/DD/YYYY format, followed by the calculated age of the account holder in parentheses.
(E) Displays the telephone number where the primary account holder can be reached during the evening.
E-mail Displays the e-mail address of the primary account holder. NOTE: There is no label for this field.
FBSI Short Name Displays the short name assigned to the account on Fidelity's brokerage system.
Primary Account Holder Displays the name of the primary account holder on the account, in last name, first name format. NOTE: This information displays in the main Account Information section; there is no label for this field.
Registration Displays the description of the type of ownership registered for the account, such as Individual or Corporation, along with its code in parentheses. NOTE: This information displays in the main Account Information section; there is no label for this field.

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Balance Information

NOTE:

Multi-Margin Model Portfolio Margin Balances Bricklet Indicator
Aggregated No Multi-Margin Model: Aggregated
Distributed No Multi-Margin Model: Distributed
Aggregated Yes Portfolio Margin Relationship: Aggregated
Distributed Yes Portfolio Margin Relationship: Distributed

Field Definition
Buying Power (Margin Eligible) Displays the maximum dollar amount available, including both cash and margin, to purchase marginable securities without adding money to the account. The balance includes intraday trade executions, and money movement into and out of the account.

NOTE: This balance includes Cash, Core Sweep/Fund, and Non-Core Money Market(s). All committed open buy trades are reflected in this balance.
Cash Avail. to Trade Displays the dollar amount available to purchase securities in the cash account. This amount includes the core account, plus eligible non-core money markets, plus any cash credits in the account. It does not include margin cash available.

NOTE:
  • This is one of the two default settings in this section.
  • This balance includes Cash, Core Sweep/Fund, and Non-Core Money Market(s). All buy trades are debited and may be netted against proceeds from sell trades credited in the Cash account as soon as the trade executes intraday, not when the trade settles. All committed open buy trades are reflected in this balance.
Cash Avail. to Withdraw Displays the amount collected and available for immediate withdrawal. This balance includes both core money market and other eligible money market funds held in the account. Intraday non-trade debits to the Cash (Type 1) account are subtracted from the cash available to withdraw.

Debits or credits from intraday trading activity may be netted and further reduce the amount available for withdrawal.
Cash Credit OR Cash Debit Displays the trade date credit or debit balance in the cash account (Type 1). This amount does not include the value of any assets denominated in non-U.S. currencies.

NOTE: Cash Credit displays in black and Cash Debit displays in red.
Cash Securities MV Displays the total market value of all account positions held in the cash account. This figure is reduced by any in-the-money amounts of covered call options.
Core/Sweep Fund Displays the cash credit balance held in the core money market account as of the close of the previous business day. This balance is held until the customer either invests or withdraws it. As transactions settle, this account is debited or credited.
House Call OR House Surplus House Call
Displays the dollar amount by which margin equity exceeds the house security requirements. If there is no additional activity in the account, the House Surplus reflects how far the account is from a House Call situation. House Surplus is calculated as follows: Margin Equity - House Security Requirements.

House Surplus
Displays the account equity amount, as a percentage of market value, has fallen below the maintenance requirement as established by Fidelity. An account in a House Call has no House Surplus or buying power.

NOTE: House Surplus displays in black and House Call displays in red with a preceding negative sign.
Margin Securities MV Displays the total market value of all account positions held in the margin account.
Settled Cash Displays the amount of cash in the account, including any proceeds from activity settling today. This represents the amount of securities you can buy and sell in a cash account without creating a good faith violation. Calculated using the following formula:

Settled Cash =
Core Sweep/Fund
+ Non-Core Money Market
- Exercisable value of cash covered puts
+/- Cash account settlement date balances (ex.: Journals, Checks, EFTs, Wires)
- Unsettled cash debits
- Settled cash credits from short sells (settled short equity and short options)
+ Cash credit (sells) settling intraday
- Cash credit settling intraday from short sells
+ Cash credit settling intraday from short option sells
- Uncollected checks/EFTs
Total Account Value Displays the total value of all assets in the account held at National Financial Services LLC (NFS), not including Insurance & Annuities and Other Away Assets. This amount includes the net market value of all positions held long or short in the account, minus any outstanding debit balance, any amount required to cover short option positions that are in-the-money, and the total amount of any securities you have loaned (if entitled).

NOTE:This is one of the two default settings in this section.
Total Securities MV Displays the total value of all securities (Types 0-9) including the Core Sweep/Fund (Type 1). This amount is reduced by any in-the-money amounts of covered call options.
Unsettled Cash Credit Displays the amount of unsettled cash (cash in an interim state) in the account that will be credited to the core account when the trades settle. A + (plus sign) and green text denote the credit. NOTE: Intraday settling amounts reflect in the Settled Cash balance.
Unsettled Cash Debit Displays the amount of unsettled cash (cash in an interim state) in the account that will be debited from the core account when the trades settle. A - (minus sign) and red text denote the debit. NOTE: Intraday settling amounts reflect in the Settled Cash balance.

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Firm and Investments Information

Field Definition
AMA Level Displays the Asset Movement Authorization (AMA) Level formally granted to the advisor to initiate and sign a cashiering transaction on behalf of the account owners. NOTE: Please see the online help within the Integrated Cash Platform (ICP) for additional information.
Class Code Displays the class code assigned to the account.
Comm. Disc % Displays the percentage commission discount (if any) that the account is eligible to receive.
eDelivery Enrollment Displays the account's eDelivery settings for eligible documents (statements, trade confirms, tax documents, and shareholder documents) as established on the Investor Delivery Options screen (Service > Investor Delivery Options); options are:
  • None: Account is not set up for eDelivery. All eligible documents are slated to be mailed.
  • Partial: Account is set up for eDelivery for some eligible documents.
  • Full: Account is set up for eDelivery for all eligible documents.

NOTE: This is one of the two default settings in this section.
Fiduciary Approach Displays 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). NOTE: See Fiduciary Approach for detailed descriptions.
International Indicates whether or not the account is set up for international trading; options are:
  • N: Account is not set up for international trading.
  • Y: Account is currently set up for international trading.
  • F: Account was formerly, but is no longer, set up for international trading.
Investment Objective Displays the top ranked investment objective for the account.
Investor Trading Indicates whether or not the advisor granted permission to the primary account owner to trade on the account; options are:
  • --: Not Available
  • N: No
  • Y: Yes
Margin Status Displays the status of the margin agreement paperwork if the account holder requested margin borrowing; options are:
  • --:No agreement on file
  • T: Application in transit to Fidelity
  • R: Fidelity rejected and returned the application
  • Z: Application was rejected by Fidelity and advisor is resubmitting
  • 1: Fidelity reviewed and accepted the application
MMKT Acct. Designation Indicates if the account is designated as a Retail or Institutional account.
Model Name Displays the model (if any) assigned to the account within the Portfolio Modeling and Rebalancing Tool.
Option Level Displays the level of options trading if the account has been approved to trade options.
  • --: No option trading approval
  • 1: Covered writing of equity calls.
  • 2: Level 1 plus purchase of equity and index calls and puts, and purchase of equity and index straddles or combinations.
  • * 3: Level 2 plus equity spreads and covered writing of equity puts.
  • * 4: Level 3 plus uncovered writing of equity calls and puts, and uncovered writing of equity straddles or combinations.
  • * 5: Level 4 plus uncovered writing of index calls and puts, index spreads, and uncovered writing of index straddles or combinations.

* Requires a margin agreement be on file with Fidelity.

Prime Broker Indicates the status of the account's Prime Broker agreement with Fidelity; options are:
  • --:
  • 0: Pending Investment Advisor
  • 1: Received Schedule A, Not Received Form 151
  • 2: Received BOTH Schedule A and Form 151
  • 3: Pending Prime Broker - Stand Alone
  • 4: Completed Prime Broker - Stand Alone
  • 5: Pending Prime Broker - Investment Advisor
  • 6: Completed Prime Broker - Investment Advisor
  • 7: Completed Investment Advisor - Customer
  • 8: Pending Executing Broker - Investment Advisor
  • 9: Completed Executing Broker - Investment Advisor
  • A: Neither Schedule A NOR Form 151 Received
  • B: Pending Risk Review
  • C: Received Form 151, Not Received Schedule A
Product Level

Displays the description along with its two-digit code in parentheses used to identify the product offering in which the account participates.

RR1/RR2/Agency

Displays up to two registered representatives and the agency assigned to the account, separated by slashes.

NOTE: This is one of the two default settings in this section.
Schedule Code Displays the description along with its two-digit code that identifies the commission schedule used to calculate commissions for the account. If a special schedule was not established for the firm, the system uses the default commission schedule.
Tax Certification Displays the tax filing status of the primary account holder.

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Fidelity Non-Brokerage Account Information

The same fields display in each section of the account cartridge for all Fidelity non-brokerage accounts, regardless of account type. You cannot customize this information, nor can you expand the sections.

Account Information

Field Definition
Primary Account Holder Displays the name of the primary account holder on the account, in last name, first name format. NOTE: There is no label for this field.
Registration Displays the description of the type of ownership registered for the account, such as Joint or 401(k), along with its code in parentheses. NOTE: There is no label for this field.

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Balance Information

Field Definition
Total Account Value Displays the total assets minus total liabilities of an account. This amount includes the net market value of all positions held long or short in the account minus any outstanding debit balance, any amount required to cover short option positions that are in-the-money, and the total amount of any securities on loan (if entitled).

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Firm and Investments Information

Field Definition
Custom Objective Displays the top ranked investment objective for the account.
Model Name Displays the model (if any) assigned to the account within the Portfolio Modeling and Rebalancing Tool.

745597.1.0

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