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Set Up New Account

- Establish the Account
- Complete the Forms
- Validate the Forms
- Process the Forms Using eSignature
- Status the Forms
- Filter the Grid
- Approve or Reject the Forms
- View (In Process) Account Application

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Overview

An integrated solution enables you to both open an account and transfer in assets. You may open multiple account types in one session by bundling up to five account kits.

Required information varies depending on the account registration and other features selected such as whether you are using eSignature as a way to collect investor signatures. As you progress through the set up process, a link displays at the top of the page; select a link to expand the bricklet and go to that section of the account opening process.

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Establish the Account

The initial window is labeled Account Header. Use this window to choose the G Number and the account's registration, specify its funding method, and optionally select to prefill fields with information from an existing account. You may also designate if the account is a separately managed account. Your selections on Account Header drive the remaining sections that display.

If you are in the process of opening multiple accounts, links to any prior validated account kits display at the top of the initial window.

Select Service > Account Servicing > Set Up New Account.
If setting up a SMA, select the Separately Managed Account (SMA) check box.

The SMA Request Type displays "Establish a new SMA Relationship."

Select the Registration, which may cause additional fields to display:

Registration	Action
Joint Registration	Indicate the Subregistration: Community Property Joint Tenants with Rights of Survivorship Tenants in Common Tenants in the Entirety
Corporation	Indicate the Status of Business: Operating Non-Operating Foreign Indicate how the corporation is Taxed As: C-Corp S-Corp
Other Non-Trust Fiduciary	Indicate the Type of Entity: Conservatorship Guardianship
LLC (all types)	Indicate the Status of Business: Operating Non-Operating Foreign Indicate how the corporation is Taxed As: C-Corp S-Corp Partnership Sole Proprietorship
Partnership	Indicate the Status of Business: Operating Non-Operating Foreign
Sole Proprietorship	Indicate the Status of Business: Foreign
Unincorporated Business	Indicate the Status of Business: Operating Non-Operating Foreign
UTMA/UGMA	Indicate the State.

You can select the Search by drop-down to search for an account according to Primary Owner Last Name, SSN/TIN, or Account Number. After making your selection, enter the search criteria in the associated text field (enter a minimum of 2 characters for Primary Owner Last Name, the entire 9 numbers for SSN/TIN, or a minimum of 3 numbers for Account Number) and then either select the Go button or press the Enter key. A list of matching accounts displays. If no accounts match the criteria, the table remains blank.
Highlight the desired entry and select the Add button to select the account. The selected Account Number displays in place of the Select Account link. To change the account, select the Account Number to display the Choose Account window again and repeat Steps #4 and #5.
The current G Number in context displays and is used by default. Optionally, select the Change/Add additional link to either change or add a G Number. The Choose G Number window displays. Select the G Number/Advisor in the list of those that display to select or highlight it. You may add up to 10 entries. To add a G Number/Advisor that is not in the list, select the associated check box to enable the G Number, Advisor, and DTC fields, so you can complete them. When your selections/entries are complete, select the Add button.
Your selections display in the table at the bottom of the window. The first entry in the list is the Primary G Number. Highlighting an entry activates the buttons below the table. Select the Move Up and Move Down buttons to re-position the highlighted entry either up or down respectively and select the Delete button to remove the entry from the list.
Select the Done button to close the window when you finish specifying the G Number information.
For non-SMA accounts, use the Funding Method drop-down to specify if you are just opening an account or funding it from another source. The options that display in the drop-down vary based on your selection in the Registration drop-down; make your selection as required.

Options for retirement registrations:

Account Open Only
Transfer of Assets
IRA Direct Transfer

Options for nonretirement registrations:

Account Open Only
Existing Fidelity Account
Transfer of Assets
For non-SMA accounts, if you chose to fund the new account from an Existing Fidelity Account, enter the Account Number in the associated text field that displays. A full journal request is initiated. To request a partial journal, you must submit a separate request using the Integrated Cashiering Platform (ICP).
To prefill fields in the form using information from an existing Fidelity account, select the Select Accounts link. The Choose Account window displays. If you do not wish to use the prefill option, go to Step #15.
You can choose to the Search by drop-down to search for an account according to Primary Owner Last Name, SSN/TIN, or Account Number. After making your selection, enter the search criteria in the associated text field (enter a minimum of 2 characters for Primary Owner Last Name, the entire 9 numbers for SSN/TIN, or a minimum of 3 numbers for Account Number) and then either select the Go button or press the Enter key. A list of matching accounts displays. If no accounts match the criteria, the table remains blank.
Highlight the desired entry and select the Add button. The Choose Data for Prefill window displays. The list of available names displays on the left. Highlight (select) an entry in the list to activate the Add button. To select more than one entry, hold down the Ctrl key and select the desired entries. Select the Add button to move your selection(s) to the list on the right. To remove a selected entry, highlight it and select the Remove button. The first entry in the selected list is designated as the Primary Account Holder. If there is more than one name listed, use the Move up and Move down buttons to position the names in the desired order. To add more account holders that are not contained in the list of available names, select the Find More Accounts button, and repeat Steps #12 and #13 until you have the desired names selected and listed in the correct order. Select the Select button to close the Choose Data for Prefill window.
The link following the Prefill Data From label indicates the number of accounts used in the prefill (N accounts). Select the link to display a window containing the list of accounts. Selecting the Add/Change button returns you to the Choose Data for Prefill window so you can revise your selections before proceeding.
When you finish making your entries on the Account Header window, select the Continue & Save button.

A confirmation window displays. Review the information on the window to verify your initial account set up criteria and then select one of the following buttons:

Select Confirm to confirming your entries on the initial window and systematically build the windows needed to complete the necessary account opening forms and if specified, those related to the asset transfer. Proceed to Complete the Forms.

Select Cancel & Exit to ignore the new account set up process and remain on the Account Header window with all your selections in place. If you wish you can make edits to the current criteria or close the Account Opening window.

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Complete the Forms

Use the in-line Help icons for assistance completing the forms.

After confirming your entries on the initial window, the system builds the windows needed to complete the necessary account opening forms and if specified, those related to the asset transfer. If you chose to prefill data from an existing account, the associated fields populate using the current information in Fidelity's books and records for the selected account. You can view this information on the Account Profile window. Also, the tool creates a data pool of the information you enter. If you are opening multiple accounts, you can access this temporary storage of information during form completion through submittal using the Autofill links that display in the appropriate bricklets. Select the link to choose from available options to quickly populate the fields. The fields are still editable in case you wish to make changes. A type-ahead functionality is also incorporated.

A summary of the information you entered on the initial window along with a Confirmation Number display at the top of the window. There are also two buttons at the top right portion.

Delete Draft
Select this button to exit the account opening process without saving any of the selections, entries, and/or edits you made to this point. A warning window displays to notify you that the deletion is an unrecoverable action. Select the Cancel button to ignore the deletion and return to the account opening process or select the I understand the risk check box, and then select the Confirm Deletion button. A window displays to notify you that the draft was deleted. Select the OK button to close the window.
Save Draft
Select this button to save your work to this point, so you can access the draft in Service Center at a later date and continue the process. A window displays indicating that the draft was saved; it also contains the Confirmation Number. Make a note of the Confirmation Number, so you can use it to locate the draft item in the grid and then select the OK button to close the window.

Complete the fields in the various sections; required fields are noted with a red asterisk. If you are requesting a transfer of assets when opening the new account, please see Initiate Asset Transfer for details on this step in the process.

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Validate the Forms

If the transaction is eligible for eSignature, both the Paper Based Signature and eSignature options are available.

When you complete all required fields, select the Validate button. The system performs content and field-level validation checks and flags any errors.
Select the Validate button again after you correct any errors. The Account Validated window displays.
Select the Add Another Account button to open another account. The initial Account Header window displays so you can establish the account. As previously mentioned, you can bundle up to five (5) account kits in one session.
When you finish adding account kits, move to the signature collection phase.

Select eSignature to expedite the process using eSignature. This option is selected by default.
or
Select Paper Based Signature to either print, sign, or upload the form(s) using Document Submission.

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Process the Forms Using eSignature

NOTE: Please see Service Center for additional information on its operation and for information on managing eSignature items.

Advisor Actions
Signer Actions

Advisor Actions

Please do not submit eSignature envelopes for multiple people using the exact same name and email address. If you do, the envelope may fail.

If you choose to collect the investor signatures electronically using eSignature, you must attach any supporting documents or request that the client supply them during the eSignature ceremony. All authorized individuals must sign. If the individual is not included, you must add the individual to the Document & Signature Management section by selecting the Edit signer data or add a new signer link.

Verify or enter the email address for each signer.
Specify the Inclusion Method for each document using the drop-down:

Attach Now
Request
If you select Attach Now, select the Upload link to display a Choose File to Upload window that you use to locate the desired document.
Repeat Steps #2 and #3 until all necessary documents are either attached or requested. Select the Add Additional Documents link to display additional Inclusion Method and Document Type drop-downs so you can request or attach more files.
If you select Request, select the Choose Signer(s) link to display a list of signers. Select the signer from whom you want the attachment and add a personalized note. This signer will see an instruction page for each document you are requesting along with your personalized note.
When the Document & Signature Management section is complete, select the Submit button. Since the documents and transactions come to Fidelity electronically, there is no need for you to print, sign, and upload them. The Confirmation window displays; there are sections for each account kit that was created. Each section contains the associated reserved Account Number and Work Item Number. Make a note of these numbers so you can use them to search for the entry in Service Center. Links to the prepared forms are included in each section. Also, there is a Download All button at the top of the window. Selecting it creates a single zip file containing all prefilled forms. You can then choose to open the file or save it to a location of your choice.

Signer Actions

Signers receive a single eSignature email request from DocuSign. It directs them to a pre-signing page containing all of the account kits created in the session. Signers then have the flexibility to choose which envelopes to sign in any order. Each kit is managed as its own envelope, so its completion is not dependent upon the others in the bundle.

The signer receives an email from Fidelity Investments that he uses to launch the eSignature ceremony. The signer selects the View Documents button in the email.
The signer inputs their address and enter the last four digits of their social security number so DocuSign can perform a location service.
The signer is then presented with three challenge questions that only they would realistically be able to answer. Once they successfully answers these questions, they are now authenticated to that envelope and can gain access to the signing ceremony.
The signer reviews the forms and adds any necessary required information or documents.
The signer selects and applies an electronic signature on the signature page.
The system notifies the signer when the eSignature process is complete and prompts the signer to select the Finish button.
When the signer completes the eSignature ceremony, a confirmation email is received. The signer can select the View in DocuSign button to access, download, and print the forms.

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Status the Forms

You can subscribe to the Account Setup Local Approval alert (E-Signature > Pending E-Signature > Account Setup Local Approval), which is generated when an eSignature signing ceremony is complete and needs your approval or rejection. Select the Wealthscape E-Signature Approval Details link within the alert email to bring you to that Work Item in Service Center.

You can use the reserved Account Number or Work Item Number to filter Service Center to locate the specific item so you can take action. Initially, the Work Item's Status is Pending eSignature. When the client completes the eSignature ceremony, its Status changes to Pending HO Approval.

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Filter the Grid

The Service menu entries accessible from the navigation bar (View (In Process) Account Application and View (In Process) TOA Transaction) and the system default search AO/TOA for Last 60 Days all provide a filtered view of the Service Center, where it displays only account opening and transfer of asset Work Items for the designated time period.

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Approve or Reject the Forms

Display the details of the Work Item by double-clicking it or right-clicking it and selecting View Request Details in the shortcut menu that displays.
Review the attachments.
Select the Approve button to approve the Work Item; its Status changes to Approved HO.
or
Select the Reject button to reject the Work Item; its Status changes to Rejected HO.

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View (In Process) Account Application

Please see Service Center for additional information on its operation and for information on managing eSignature items.

Overview
Status

Overview

Selecting Service > Account Servicing > View (In Process) Account Application provides a filtered view of the Service Center, where it displays only account opening and transfer of asset Work Items for the last 60 days (using the default system search labeled AO/TOA for Last 60 Days).

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Status

The following table contains the statuses of the account opening process.

Status	Description
Saved Draft	The draft of the application or form is partially complete (saved before being validated). To open the Account Opening window so you can complete the process beginning where you exited it, double-click the entry in the grid or right-click the entry and select Edit Draft in the shortcut menu that displays.
Pending eSignature	The eSignature ceremony was initiated, and the forms are awaiting the signers to complete their eSignatures.
Pending HO Approval	The signers completed the eSignature ceremony (all eSignatures were collected) and the kit is ready for advisor (home office) review and approval/rejection. If not approved within the 10 business day approval window, an eSignature item that is Pending HO Approval is auto-approved. The item does not expire nor is it cancelled.
Approved HO	The eSignature account kit was approved by the advisor firm.
Rejected HO	The eSignature account kit was rejected by the advisor firm.
In Process	The item is in process at Fidelity.
Resolved	The account was opened and/or the transfer of assets (TOA) was funded.
Cancelled	The eSignature account kit was cancelled by the advisor.
Cancelled eSignature	The eSignature envelope was cancelled due to one of the following: failure to authenticate, invalid email, declination to sign, or envelope expiration (30 days).

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