- View account information
- Edit account information
- 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 Accounts.
- In the Menu column, select the arrow.
- Select 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.
To edit account information
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.
Note: The 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:
Add a section
- In the Available Sections box, select a section name.
- Use the Shift and Ctrl keys to select multiple names.
- Select Add.
Remove a section
- In the Selected Sections box, select a section name.
- Use Shift and Ctrl keys to select multiple sections.
- Select Remove.
Select Save & Apply.
Note: To return displayed sections back to the system default, select Reset to Default.
- Account setup
- Account holders
- Account characteristics
- Account agreements
- Beneficiaries
- Authorized traders
- Interested parties
- Account 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 | Editable | Definition |
|---|---|---|
| Abandoned Property Date | N | The date that unclaimed or abandoned property is escheated to the state in DD-MM-YYYY format. |
| Agency | Y | The code of the agency associated with the account. |
| Alternate Phone | Y | The alternate phone number where the account holder can be reached. |
| B & R Mail | Y | The Books & Records mail flag, which indicates whether a subset of Revised Account Profiles (RAPs) will 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
|
| CAT Account Holder Type | Y | The Order Audit Trail System (OATS) account type, in accordance with FINRA OATS technical specifications: Institutional (A)
Note: During new account setup, based on existing account information, this field defaults to one of the above values, with the exception of Institutional (A). To classify an account as institutional, select Institutional (A) as the CAT Account Type. |
| Class Code | N | The class code description assigned to the account, followed by the associated code. |
| Employee Indicator | Y | The type of employee account or employee-related account: No Not an employee or employee-related account
|
| Establishment Date | N | The date the account was set up and approved in DD-MM-YYYY format. |
| FBSI Short Name | Y | The account short name used as an abbreviation for the full registration name, up to 10 characters. This name is used to facilitate account sorting and identification. |
| Fiduciary Approach | Y | 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) |
| Fiduciary Approach Date | N | The date when the status was entered into the system, in DD-MM-YYYY format. The content is system generated and cannot be edited. |
| Last Maint. Date | N | The last date a change was entered to the account information in DD-MM-YYYY format. |
| Last RAP Date | N | The last date a Revised Account Profile (RAP) or New Account Profile (NAP) was sent out for the account, in DD-MM-YYYY format. This field does not display if your firm sends their own RAP or NAP notifications. |
| Legal Address | Y | 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 | Y | The address to which the primary account holder wants mail delivered, which can include a P.O. Box. If entitled to add a seasonal address, an "Active Now" indicator displays next to the address that is currently active. |
| Managed Account | Y | 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 | N | Indicates if the account is designated as a Retail or Institutional account. |
| Mobile | Y | Indicates whether the phone number for the account holder is for a mobile device. |
| NOBO Indicator | Y | (Non-Objecting Beneficial Owner) Indicates whether the account holder objects to the account name being submitted to securities issuers. It also indicates whether the account holder wants to receive proxies for the securities held in the account. Yes Account holder does not object.
|
| Parent Account | Y | If the account's paperwork and features were migrated from an identically registered account, as part of a prefix change for example, this is the account number of the original (parent) account. |
| Primary Phone | Y | The primary phone number where the account holder can be reached. |
| Product Level | Y | The product offering in which the account participates followed by the associated code. |
| Product Subtype | Y | The feeEngine participation status of the account: dvisory (A)
|
| Registration | N | The registration type of the account (e.g., Individual, Corporation, or Roth IRA), followed by the associated code. |
| Regulatory Code | N | For a proprietary account, the 2-character regulatory code that classifies the account for regulatory purposes. |
| RR1 | Y | The code of the first registered representative assigned to the account. |
| RR2 | Y | The code of the second registered representative assigned to the account. |
| Seasonal Address | Y | The seasonal address to which the account holder wants mail delivered, which can contain a P.O. Box. |
| SIMPLE Plan Establishment Date | Y | The date the SIMPLE IRA Premiere Select (SMPL) or SIMPLE IRA Private Label (SSMP) account was setup and approved in DD-MM-YYYY format. |
| Year of First Contribution | N | The year the initial contribution is made to a Self-employed Roth 401K plan. |
Account Holders displays up to eight account holders related to the account. The name of the primary account holder lists first; "(Primary)" displays after the name. The number in parentheses indicates the number of account holders.
- Account holders
- Securities industry affiliations
- Trusted contacts
- Employer and affiliation information
- Customer types - entity
- Customer types - individual
| Field | Editable | Definition |
|---|---|---|
| Alternate Phone | Y | The alternate phone number where the acount holder can be reached. |
| Country of Citizenship | Y | 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. |
| Country of Issuance | Y | The country of issuance for the government ID. |
| Date of Birth (Age) | Y | The date of birth of the account holder in DD-MM-YYYY format, followed by the calculated age of the account holder. If the account holder is deceased, age does not display. |
| Date of Death | Y | If Name Type is Person, this is the date of death of the account holder in DD-MM-YYYY format, if applicable. |
| Date of Trust | Y | For Trust Under Agreement, this is the date the trust became effective in DD-MM-YYYY format. |
| Driver's License # | Y | The driver's license number of the account holder. The driver's license number can be either U.S. or non-U.S. The contents of this field are masked; only the last four numbers display. In edit mode, the entire (unmasked) number displays. |
| Y | The email address of the account holder. The address must include @ and the domain extension, such as abc@xxxx.com. When an email address is denoted as the email address of record and you want to delete that email address, you must first associate a different email address of record. Note: If your firm participates in the eDelivery service, when you add a new email address and save your edits, that email address becomes available for selection from the Account Characteristics section. Only email addresses assigned to account holders are available for selection. |
|
| Expiration Date | Y | The date of expiration for the government ID. |
| Government ID # | Y | The number associated with the government-issued identification. |
| Government ID Type | Y | The type of government-issued identification. This field displays when Not Applicable is selected in the U.S. Taxpayer ID Type field. For Person holders: Driver's License For Entity holders: Legal Entity Identifier |
| Holder | Y | If Name Type is Person, this is the last name, first name of the account holder. |
| Institution | Y | If Name Type is Entity, this is the name of the institution. |
| Issuance Date | Y | The date of issuance for the government ID. |
| Legal Address | Y | 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 | Y | The address to which the account holder wants mail delivered, which can include a P.O. Box.
|
| Minor's State of Residence | Y | If a custodial UGMA/UTMA account; the state or territory in which the account holder resides if the account holder is a minor. |
| Mobile | Y | Indicates whether the phone number for the account holder is for a mobile device. |
| Name Type | N | This indicates whether the account holder is an institution (Entity) or a person (Person). Name Type displays when adding an account holder. |
| Primary Phone | Y | The primary phone number where the account holder can be reached. |
| Relationship Type | Y | The type of relationship between the account holder and the account. |
| State of Issuance | Y | The 2-character abbreviation of the state that issued the driver's license to the account holder. |
| Taxpayer ID # | Y | The tax identification number of the account holder or entity. The contents of this field are masked; only the last 4 numbers display. |
| U.S. Taxpayer ID Type | Y | SSN/ITIN
For U.S. individual account holders. TIN/EIN For U.S. entities. Not Applicable For non-U.S. account holders and entities. If you select Not Applicable, the Government ID Type and associated fields display. |
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
|
| 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. |
| Occupation | If employed, this is the current occupation of the account holder. |
Customer types are designations that must be captured for account holders. They are used for regulatory reporting purposes but do not impact eligibility for products.
| Field | Definition |
|---|---|
| Accredited Investor | The entity is an accredited investor, as defined by Rule 501(a)of the Securities Act of 1933. Yes |
| U.S. Registered Broker-Dealer | The entity is a U.S. broker-dealer. Yes |
The entity is a U.S. registered investment adviser. Yes |
|
| U.S. Registered Investment Company | The entity is a U.S. registered investment company, as defined by the Investment Company Act of 1940. Yes |
Customer types are designations that must be captured for account holders. They are used for regulatory reporting purposes but do not impact eligibility for products.
| Field | Definition |
|---|---|
| Accredited Investor | The person is an accredited investor, as defined by Rule 501(a) of the Securities Act of 1933. Yes |
| Associated with Other Broker-Dealer | The person is associated with a U.S. broker-dealer that is different than the broker-dealer that will hold this account. Yes |
| Control Person | The person is a member of the board of directors, a 10% shareholder, a policy-making officer, or someone who can direct the management and policies of a publicly traded company. Yes |
| Employee of Broker-Dealer | The person is employed by or associated with the broker-dealer that will hold this account, as defined in Section 3(a)(18) of the Securities Exchange Act of 1934. Yes> |
| U.S. Registered Investment Adviser | The person is associated with a U.S. registered investment adviser. Yes |
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 two 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 | Editable | Definition |
|---|---|---|
| Alternate Phone | Y | The alternate phone number where the account holder can be reached. |
| Y | The email address of the trusted contact. | |
| Legal Address | Y | The legal address of the trusted contact, which cannot contain a P.O. Box. |
| Mobile | Y | Indicates whether the phone number for the account holder is for a mobile device. |
| Name | Y | The name of the trusted contact in Last Name, First Name format. |
| Primary Phone | Y | The primary phone number where the account holder can be reached. |
| Relationship to Holder | Y | The relationship of the trusted contact to the primary account holder: Aunt/Uncle
|
If an 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 | Editable | Definition |
|---|---|---|
| 3210 Affiliation Type | Y | The type of firm with which the primary account holder is affiliated: Yes
|
| Company Name | Y | If the account holder is a control person or affiliate, displays the full name of the public company. |
| Control Relationship | Y | Indicates whether the 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 | Y | If employed, displays the address of the entity with which the account holder is employed or affiliated. |
| Employer Name | Y | If employed, displays the full name of the employer (typically the company name) with which the account holder is employed or affiliated. |
| Occupation | Y | If employed, displays the current occupation of the account holder. |
| Status | Y | Indicates how the account holder responded to Employment and Affiliation questions: Asked and Answered (A)
|
| Symbol/CUSIP | Y | If the account holder is a control person or affiliate, displays the CUSIP number or market symbol of the public company |
Account Characteristics displays account attributes based on established settings or agreements. If entitled, it also contains a section related to the specified delivery method for certain customer documents.
- Account characteristics
- Financial documents
- Document delivery instructions
- Asset instructions
| Field | Editable | Definition |
|---|---|---|
| Bypass Misc Fee | Y | Indicates whether miscellaneous fees that your firm might charge for domestic trades, such as postage and handling, are bypassed for this account. Yes
|
| Core Sweep/Fund | Y | 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 | Y | The mnemonic and description of the selected 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 % | Y | If eligible for a commission discount, this is the percent of that discount, which cannot exceed 100%. |
| Commission Type | Y | The security types in which account trades are eligible for a commission discount: Bonds Only (B)
|
| Do Not Purge | Y | Indicates whether the account should not be purged if or when it meets the purge criteria: No
|
| Fidelity.com Analysis (GPS) | Y | Indicates whether performance data for the account is shown on the Analysis tab in Fidelity.com: Enabled
|
| Fidelity.com Performance | Y | Indicates whether performance data for the account is shown on the Summary and Performance tabs in Fidelity.com. This data is reflected beginning the second Friday of the following month. Enabled
Note: An account cannot be enabled to both Fidelity.com Performance and Wealthscape Performance Measurement at the same time. |
| International | Y | Indicates whether the account is enabled for international trading: Yes
|
| Omnibus Account | Y | 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. A non-certified omnibus account will have an OMNI value on the FBSI BNAM MANT screen of 04 or 05 and/or will not have an Omnibus Account Certification Form on file with NFS. A non-certified account will be blocked from purchases of Fidelity mutual funds with short-term redemption fees. 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. (01) Not an Omnibus Account: FBO Required
|
| Plan ID | N | For a trust account, this is the five-digit identifier for the Administrative Trustee Services (ATS) plan. |
| Platform Source | Y | The platform used to manage the account, if applicable: eMoney
|
| Preferred Level | Y | The customer preferred level: Platinum TI Bal Ineligible |
| Product Class | Y | Identifies whether the account participates in a 529 plan or is managed: 529 College Savings Plan
|
| Schedule Code | Y | The 2-digit code that identifies the commission table used to calculate commissions for the account. |
| Trust Services (ATS) | N | For a trust account; indicates whether the primary account holder is a participant in Administrative Trustee Services: Yes
|
| Wealthscape Performance Measurement | Y | Indicates whether the account is enabled or disabled for Wealthscape Performance Measurement: Enabled
Note: An account cannot be enabled to both Fidelity.com Performance and Wealthscape Performance Measurement at the same time. |
| Field | Editable | Definition |
|---|---|---|
| Confirm Print Format | Y | Indicates whether trade confirmations generated for the account display a single transaction per page or multiple transactions per page: Single (S)
|
| Suppress DVP Statements | Y | For a DVP/RVP account; indicates whether the primary account holder elected to suspend the printing and mailing of monthly statements: Statements Not Suspended (N)
|
If your firm participates in the eDelivery service, the Document Delivery Instructions section displays. When a customer is enrolled in eDelivery, the customer receives an email notification when a document is available to view online. A printed document is not mailed to the customer.
You cannot enroll an account in eDelivery; only an account holder can do this either during the new account setup process or using your firm's customer brokerage site.
| Field | Editable | Definition |
|---|---|---|
| Document delivery instructions | Y | Indicates how the account holder wants participating documents delivered:
eDelivery
Pending eDelivery U.S. Mail |
| Y | The email address of record. Regardless of how many email addresses are associated with the account, only one address can be designated as the email address of record, which is used to notify the account holder when eligible documents are available to view online. Email addresses available to choose from include those associated with account holders only.
|
| Field | Editable | Definition |
|---|---|---|
| Dividend/Capital Gains | Y | Indicates how to distribute the account's dividend income: Pay Weekly (1)
|
| Proceeds from Sales | Y | Indicates what to do with the cash proceeds of a security sale: Remit Proceeds (1)
|
| Security Purchases | Y | 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 | Editable | Definition |
|---|---|---|
| Additional Paperwork | Y |
The status of any additional paperwork at NFS that is associated with the account. This applies to the following registrations: 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. Your Home Office retains additional account paperwork. Papers On File (Y)
|
| Advisory Fee Agreement | Y | For a managed retirement account, this is the status of account paperwork authorizing payment of financial advisory fees to be deducted from the account: No paperwork on file
Note: Editable for Private Label retirement accounts only. |
| Application | Y |
The status of the new account application. Applications retained by NFS include retirement, margin, and Brokerage Access and Brokerage Portfolio® accounts (product levels 51 and 52). All other applications are retained by your Home Office. <blank>
|
| Asset Movement Authorization | N | The level of authorization the account holder has given your firm to initiate certain types of Premiere Select IRA distributions and ROTH conversions on their behalf without further paperwork requirements by NFS. |
| Corporate Tax Status | Y |
For accounts with a Corporate or LLC registration, this is the corporation's tax status: Not Applicable
|
| Country of Tax Residence | Y | The country where the organization or primary account holder claims to be a resident for that country's income tax. Note: Does not apply to Non-Resident Alien - Certified. |
| Debit Card Mgmt Authorization | Y | Indicates whether the primary adviser is authorized to act on the customer's behalf on cash management products (for example, order a new debit card): No
|
| Discretionary Margin | N | For a margin account; 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: Yes
|
| Exempt Payee Code | Y | If the account is exempt from backup withholding, the reason for the exemption: 501(a), 403(b)(7), or 401(f)(2) (01)
|
| Fully Paid Lending Agreement | N | Indicates whether the account is enrolled in the fully paid lending program: Yes
|
| LOI Agreement | N | Indicates whether a Letter of Intent (LOI) Agreement is on file with NFS: Not On File (N)
|
| Margin Agreement | Y | The status of the Margin Agreement paperwork if the account holder requested margin borrowing: Papers On File (1)
Note: Editable when changing from blank to Papers in Transit (T) only. |
| Multi-Margin Model | N |
If the account is a member of a Multiple Margin Relationship, this is the multiple margin calculation method used by the account: Aggregated
Distributed
|
| Mutual Fund Investment IRA | Y | If entitled, this is the paperwork status of the account in which investments are for mutual funds only. This investment option is available for Premiere Select Traditional IRA, Roth IRA, Rollover IRA, SEP-IRA, IRA Beneficiary Distribution Account (BDA), or Roth IRA BDA. Yes (Y)
|
| Non Purpose Loan Agreement | N |
For accounts with a loan agreement on file, this is the status of the non-purpose loan agreement: Not On File (N)
|
| Non Purpose Loan Approved Amount | N |
For accounts with a loan agreement on file, this is the most recently approved amount available on the non-purpose loan. |
| Option Agreement | N |
The status of the option level paperwork if the account holder requested options trading: Papers On File (Y)
|
| Option Level | N | The option trading level that indicates the types of option trading approved for the account. |
| P-Notice | N | For a retirement account, this is 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)
|
| P-Notice Date | N | For a retirement account subject to a P-Notice, this is the date the P-Notice was last updated, in DD-MM-YYYY format. |
| Prime Broker | Y | The status of the Prime Broker Agreement on file: Pending Investment Adviser (0)
|
| Security Lending Agreement | N | The status of the Master Securities Lending Agreement (MSLA) of an account enrolled in the Fully Paid Lending Program: Papers On File (Y)
|
| Special Margin | N | Indicates whether the account is enabled for Portfolio Margin: Adviser Special (A)
|
| Tax Certification | Y | The tax filing status of the primary account holder. Codes vary based on registration: US Citizen
|
| W-8 Certification Date | Y |
For Non-Resident Alien - Certified, this is the date of the tax certification in DD-MM-YYYY format. |
| W-8 Form | Y |
The form the account holder used to establish foreign status or beneficial ownership of income, or to claim reduced withholding tax benefits provided by tax treaty: W8 BEN (1)
|
Beneficiaries displays if the registration of the account supports beneficiaries. It contains information related to up to 100 beneficiaries designated by the account. The number in parentheses following the section label indicates the number of beneficiaries.
| Field | Editable | Definition |
|---|---|---|
| % of Share | Y | The percentage of the account balance to which the beneficiary is entitled, up to 100%. All percentages must add to 100.00. |
| Address | Y | The mailing address of the beneficiary. A beneficiary cannot have a foreign address. |
| Beneficiary | Y | The full name of the beneficiary. Note: If the retirement account did not designate a beneficiary, the following text displays in place of a beneficiary name: CUSTODIAL AGREEMENT DEFAULT PROVISIONS. According to the terms of the custodial agreements for Premiere Select IRAs, Roth IRAs, and SIMPLE IRAs, if a beneficiary was not named, assets default to the surviving spouse. If no surviving spouse, then assets default to the estate. For Premiere Select IRA-BDAs, if a successor beneficiary was not named, assets go to the estate. |
| Beneficiary Type | Y | The beneficiary type: None (N)
|
| Contact | Y | If Legal Heir is Per Stirpes, this is 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) or Date of Trust | Y | If the beneficiary is a spouse or non-spouse, the date of birth of the beneficiary in DD-MM-YYYY format, followed by the calculated age of the beneficiary.
or If the beneficiary is a trust, the date the trust became effective in DD-MM-YYYY format. |
| Designation | N |
The status of receipt of the required beneficiary application: Rejected (R)
|
| Legal Heir | Y |
If beneficiary is a spouse or non-spouse; how shares of the account will be distributed to the designated beneficiaries: Per Stirpes (S)
Note: A Per Stirpes election indicates that if the beneficiary predeceases the account holder, the beneficiary's shares of the account pass to the descendants instead of a contingent beneficiary. If Per Stirpes is selected, Contact is required. |
| Relationship to Account Holder | Y | The relationship of the beneficiary to the account holder: Spouse (S)
|
| SSN/TIN | Y | 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 | N |
The outcome of the beneficiary application: Transit (T)
|
- Authorized traders
- Customer types - entity
- Customer types - individual
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.
Where entitled, in addition to editing authorized traders, you can add a new authorized trader to the account (select Add Authorized Trader), or delete an authorized trader (select Edit and then select Delete in the Authorized Traders section).
| Field | Editable | Definition |
|---|---|---|
| Address | Y | The address of the authorized trader. |
| Authorized Trader Type | Y | For an Entity, this is the designation type of the authorized trader. Both types listed below have the authority to place orders for the account without prior approval of the account holders. AUTHREP
|
| Company Name | Y | If Name Type is Entity, this is the name of the company. |
| Country of Citizenship | Y | The country of citizenship of the authorized trader. |
| Country of Issuance | N | The country of issuance for the government ID. |
| Date of Birth | Y | The date of birth of the authorized trader in DD-MM-YYYY format. |
| Expiration Date | N | The date of expiration for the government ID. |
| Issuance Date | N | The date of issuance for the government ID. |
| Government ID # | N | The number associated with the government-issued identification. |
| Government ID Type | N | The type of government-issued identification. This field displays when Not Applicable is selected in the U.S. Taxpayer ID Type field. For Person holders: Driver's License For Entity holders: Legal Entity Identifier |
| Name | Y | If Name Type is Person, this is the full name of the individual authorized by the primary account holder to place orders. |
| Name Type | N | Indicates whether the authorized trader is an institution (Entity) or a person (Person). Name Type displays when adding or editing an authorized trader. Double dashes (--) indicate no value exists. |
| Relationship Type | Y | The authorized individual's level of trading authority: Adviser (A)
|
| Taxpayer ID # | N | The tax identification number of the account holder or entity. The contents of this field are masked; only the last four numbers display. |
| U.S. Taxpayer ID Type | N | SSN/ITIN
For U.S. individual account holders. TIN/EIN For U.S. entities. Not Applicable For non-U.S. account holders and entities. If you select Not Applicable, the Government ID Type and associated fields display. |
Customer types are designations that must be captured for authorized traders. They are used for regulatory reporting purposes but do not impact eligibility for products.
| Field | Definition |
|---|---|
| Accredited Investor | The entity is an accredited investor, as defined by Rule 501(a)of the Securities Act of 1933. Yes> |
| U.S. Registered Broker-Dealer | The entity is a U.S. broker-dealer. Yes |
| U.S. Registered Investment Adviser | The entity is a U.S. registered investment adviser. Yes |
| U.S. Registered Investment Company | The entity is a U.S. registered investment company, as defined by the Investment Company Act of 1940. Yes |
Customer types are designations that must be captured for authorized traders. They are used for regulatory reporting purposes but do not impact eligibility for products.
| Field | Definition |
|---|---|
| Accredited Investor | The person is an accredited investor, as defined by Rule 501(a) of the Securities Act of 1933. Yes |
| Associated with Other Broker-Dealer | The person is associated with a U.S. broker-dealer that is different than the broker-dealer that will hold this account. Yes> |
| Control Person | The person is a member of the board of directors, a 10% shareholder, a policy-making officer, or someone who can direct the management and policies of a publicly traded company. Yes |
| Employee of Broker-Dealer | The person is employed by or associated with the broker-dealer that will hold this account, as defined in Section 3(a)(18) of the Securities Exchange Act of 1934. Yes |
| U.S. Registered Investment Adviser | The person is associated with a U.S. registered investment adviser. Yes |
Interested Parties displays up to 99 interested parties associated with the account, including the name, address, and number of additional copies of confirms and statements that the account holder wants NFS to send to a party with interest in the account. Interested parties may or may not be account holders. The number in parentheses following the section label indicates the number of interested parties.
Where entitled, select Add Interested Party to add a new interested party to the account or select Edit and then select Delete to delete an interested party.
| Field | Editable | Definition |
|---|---|---|
| # of Confirms | Y | The number of confirmations to send to this interested party, up to 99. |
| # of Statements | Y | The number of statements to send to this interested party, up to 99. |
| Address | Y | The mailing address where the confirmation and/or statement should be delivered. |
| Country | Y | The country in which the interested party resides. |
| Name | Y | The name of the interested party. This name will display in the mailing address. |
Additional Stakeholders displays information related to up to 60 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 also display for each designated stakeholder.
Where entitled, in addition to editing stakeholders, select Add Stakeholder to add a new stakeholder to the account or select Edit and then select Delete to delete a stakeholder.
| Field | Editable | Definition |
|---|---|---|
| Address | Y | The address of the stakeholder:
|
| Beneficial Ownership Percentage | Y | For relationship types CNTL, EOWN, ST02, and ST03, this is the percent of the customer's ownership interest in the account, up to 100%. |
| Citizenship Status | Y | The United States citizenship status of the stakeholder: US Citizen (01)
|
| Company Name | Y | If the stakeholder is an entity, this is the name of the institution that is an account stakeholder. |
| Country | Y | The country in which the person or entity is located. |
| Country of Citizenship | Y | 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 | Y | If the stakeholder is a person, the date of birth of the stakeholder in DD-MM-YYYY format. |
| Government ID Type | Y | The type of government identifier: Driver's License
|
| ID Expiration Date | Y | The date the government ID is set to expire in MM/DD/YYYY format. |
| ID Issue Date | Y | The date the government ID was issued in MM/DD/YYYY format. |
| ID Number | Y | The government ID number, up to 30 characters. |
| Name Type | Y | Indicates whether the account stakeholder is an institution (Entity) or a person (Person). Name Type displays when adding a stakeholder. |
| Relationship Type | Y | The relationship between the stakeholder and the account: Appoint/Remove Authority (AUTH)
|
| SSN/TIN | Y | 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 Name (First Name, Middle Name, Last Name) | Y | If the stakeholder is a person, the first, middle, and last name of the account stakeholder. |
| State of Issuance | Y | The state code where the government ID was issued. |
| Tax ID Type | Y | The type of tax identification number of the account stakeholder: SSN (Social Security number) If a person.
|
Account Features displays checkwriting and debit/credit card information for the account. This section also displays information for Brokerage Access and Brokerage Portfolio accounts (Product Levels 51 and 52).
Information in Account Features is not editable.
| Field | Editable | Definition |
|---|---|---|
| # of Signatures | N | The number of required signatures for checks associated with this account: 1
|
| Checkwriting | N | Indicates whether checkwriting is established on the account: Yes
|
| Debit/Credit Card | N |
Indicates whether the account is set up for a debit/credit card: Yes
|
| Last Reorder # | N | The number of the last check that was ordered. |
| Last Reorder Date | N | 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 | Editable | Definition |
|---|---|---|
| Duplicate Confirms | Y | Indicates whether duplicate trade confirms should be sent to the manager: Yes
|
| Duplicate Statements | Y | Indicates whether duplicate brokerage statements should be sent to the manager: Yes
|
| Managed Product | N | The name of the investment manager and specific product discipline. |
| Manager ID | N | The 10-character ID that identifies the manager of the managed account program. |
| Program | Y | The full name of the investment program. |
This section indicates the recipients of regulatory mailings.
| Field | Editable | Definition |
|---|---|---|
| Additional Mailings | Y | The recipient of Shareholder Newsletters, and Quarterly and Semi-Annual Reports: Manager
|
| Annual Reports & Prospectuses | Y | Indicates the recipient of Trade Confirming Prospectuses, and Annual and Semi-Annual Prospectuses: Manager
|
| Corporate Actions | Y | The delivery instructions for notices of corporate actions: Manager
|
| Proxy Materials | Y | The delivery instructions for proxy materials: Manager
|
This section contains information related to the Turnkey Asset Management Program (TAMP).
| Field | Editable | Definition |
|---|---|---|
| Duplicate Confirms | Y | Indicates if duplicate trade confirms should be sent to the TAMP provider: Yes
|
| Duplicate Statements | Y | Indicates if duplicate brokerage statements should be sent to the TAMP provider: Yes
|
| Role Description | N | The description of the TAMP investment program. |
| Role ID | N | The 2-digit indicator assigned to the Role Description. |
| TAMP Name | Y | The 9-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
Financial Position 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
Note: If Other, enter the specific dollar amount of the annual income, up to 13 digits. |
| Estimated Net Worth |
The estimate of total assets (excluding primary residence) minus total liabilities (joint accounts indicate the combined value): $0 to $50,000
Note: If Other, enter the dollar amount of the estimated net worth, up to 13 digits. |
| 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 primary account holder. |
| Special Expenses |
In conjunction with the Timeframe field, the approximate dollar amount of the account holder's future and non-recurring expenses: $0 to $50,000
Note: If Other, enter the dollar amount, up to 13 digits. |
| Timeframe | In conjunction with the Special Expenses field, the approximate time range for which the special expenses apply: 0-2 Years
|
Decision Making displays information concerning the way in which the primary account holder makes financial decisions.
| Field | Definition |
|---|---|
| I consult with my broker. |
Indicates that the customer consults with a broker, investment adviser, CPA or other financial professionals in the decision-making process: Yes
|
| I consult with my family/friends. |
Indicates whether the customer discusses decisions with family and friends: Yes
|
| I make my own decisions. |
Indicates that the customer generally makes own decisions and/or consults with co-applicants: Yes
|
Investment Profile 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 6 investment objectives for the account in order of importance (1 being the highest; 6 being the lowest): Preservation of Capital
Note: If Other, enter the specific objective such as College, up to 30 characters. |
| Investment Purpose |
The primary account holder's purpose for the account, such as retirement, home purchase, college: Accumulate Wealth
Note: If Other, enter the specific purpose, up to 30 characters. |
| Investment Time Horizon |
The amount of time the primary account holder expects to invest funds in the account before withdrawing: Near Term
Note: If Combination, enter the time horizon combination such as Short/Long, up to 24 characters. |
| Risk Tolerance | The account holder's ability to assume investment risk. If Combination, the risk tolerance combination such as Conservative/Moderate. Conservative
Note: If Combination, enter the risk tolerance combination such as Conservative/Moderate, up to 24 characters. |
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 customer discussions.
| Field | Definition |
|---|---|
| Additional Suitability Information | Comments provided by the customer concerning investment goals that could impact the recommendation. |
| Last Change Date | The date the customer's information was last revised in DD-MM-YYYY format. |
| Last Review Date | The date the information was last discussed with the customer in DD-MM-YYYY format. |
| Reviewer ID | The user ID of the last person who provided/updated the customer's information. |
| Suitability Status | The account holder's response to the Suitability questions: Asked and Answered
|
DVP Instructions display instructions for up to 11 product types. The number of instructions on an account is shown in parentheses in the section heading.
A 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 customer must complete separate instructions for each product type, such as precious metals, corporate bonds, CDs, and mutual funds.
- DVP/RVP instructions
- Add new instruction
| Field | Editable | Definition |
|---|---|---|
| Agent Bank # | Y |
The 5-digit ID of the agent bank. Note: When the IDC field contains 1, this field must display 99999. |
| IDC | Y |
The Institutional Delivery Code that indicates whether the account is a DVP/RVP account: <blank>
|
| ID System # | Y | The 5-digit institutional ID number. |
| Field | Editable | Definition |
|---|---|---|
| Agent Bank ABA # | Y | The 9-digit number that identifies the agent bank as a member of the American Bankers Association. Both the Federal Reserve wire system and the Automated Clearing House electronic funds transfer system use this number to identify participants. |
| Agent Bank Address | Y | Up to 4 lines of the mailing address of the agent bank. |
| Agent Bank Country | Y | The country where the receiving agent bank resides. |
| Agent Bank Name | Y | The full name of the receiving agent bank. If Agent Bank Country is a foreign country, Postal Code and an additional address line display. |
| City, State, Zip Code | Y | If Agent Bank Country is United States, the City, State, and Zip Code fields display. For U.S. addresses, State and Zip Code are required. |
| Client Account # at Agent Bank | Y | The account holder's account number at the agent bank, up to 15 digits. |
| DTC # | Y | The Depository Trust Corp number of the instruction. |
| Euroclear | Y | The Euroclear code of the instruction. |
| Federal Book Entry # | Y | The 6-character book-entry account for the depository institution at the Federal Reserve Bank, if applicable. |
| GSCC | Y | The Government Securities Corporation code of the instruction. |
| MWBD | Y | The Midwest Bearer System code of the instruction. |
| MWDR | Y | The Midwest Registered System code of the instruction. |
| PHL | Y | The Depository Trust Corp number of the instruction. |
| Postal Code | Y | If Agent Bank Country is a foreign country, Postal Code and an additional address line display. Enter the City on the last Address line. |
| Product Type | Y |
The type of security for which DVP/RVP instructions exist: Precious Metals (C)
|
| PTC # | Y | The Participant Trust Co number of the instruction. |
| SCC # | Y | The Stock Clearing Corp number of the instruction. |
| SDFS # | Y | The Same Day Fund Settlement number of the instruction. |
| Short Name | Y | The short name of the receiving agent bank. |
Affiliated Bank Information 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 NFS bank-affiliated firm, the description and amount of the balance display adjacent to the bank information; up to 99 balances. The balance information displays as transmitted to NFS and you cannot edit it.
| Field | Editable | Definition |
|---|---|---|
| ABA # | Y | The 9-digit number that identifies the bank as a member of the American Bankers Association (ABA). |
| Balance Amount | N | The amount of the balance transmitted to NFS. (This field is unlabeled.) |
| Balance Description | N | The description of the account balance obtained through a transmission from the NFS bank-affiliated firm. (This field is unlabeled.) |
| Bank Account # | Y | The account number at the correspondent bank to receive cash proceeds. Note: The contents of this field are masked; only the last four numbers display. |
| Bank Account Type | Y |
The bank account type: Checking/Demand Deposit (D)
|
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