1. When logging into the Dashboard go to: https://www.rep-on-line.com/CFS/Login.aspx?ReturnUrl=%2fcfs%2fdashboard.aspx Insert your Username and Password and click on the LOGIN button

2. This is the opening screen. On the left you see the different options you have.

3. Under MY CUSTOMERS, the first item lets you know if there are any customers which need your attention. These would be customers missing required information.

4. My Orders: This is where you see the status of Orders in the system. If you see orders in Suspended/Hold, this means there is a problem with a client which is causing an order to b suspended or held.

5. My Reports: Your commission statements, Licenses, Rep. 1099 UnPaid Orders, Customer Statements, Cus. 30-90-180.

6. My Total Commissions by Month shows this year and, if applicable, last year commissions in a graph. My Pending Orders shows all of the orders in the system that haven’t been paid and their status.

7. The next few slides will discuss how to enter a client’s information into the system. On the Customer Tab, press the green plus sign(+). To save your work at any time, press the green check mark button next to the green plus(+) sign. Please save your work often!

8. In the Client Information box, enter the client’s first name, initial, and last name. The format for the search id is last name first name middle initial registration. Do not enter any punctuation as that can cause reporting errors. Below are examples of the most common formats for the search id: Mouse Mickey(for individuals) Mouse Mickey IRA(for IRA) Mouse Mickey SEP(for a SEP IRA) Mouse Mickey SIRA(for Simple IRA) Mouse Mickey RIRA(for Roth IRA) Mouse Mickey & Minnie JTWROS(for joint accounts) Mouse Mickey FBO Jimmy(for 529 accounts) ***The search ID for UGMA’s and custodial retirement accounts should be the person to whom the TIN belongs. In the registration lines, enter the custodian (Mickey Mouse Cust) and the child (FBO Annie Mouse) on the first and second registration lines, respectively.

9. Mickey’s IRA

10. Mickey & Minnie’s Joint Account

11. Mickey’s 529 for Pluto

12. Mickey’s UGMA/UTMA for Pluto

13. The registration format should be first name, middle initial, last name. Enter one name per line. Enter the address to which the client would like correspondence sent. If using a P.O. Box as the mailing address, you must enter a physical address in the Alternate Address Information box at the bottom. The system will tab from the address field to the zip code field. Once the zip code is entered, the system will populate the city and state fields. Choose the account type from the drop down menu. Enter the social security number. Once you tab to the rep field, the social security number will be replaced by asterisks to fulfill Reg S-P requirements. Use the drop down menu on either Rep Search ID or Rep Number to locate the correct rep.

14. Phone Information

15. Account Information

16. Enter the client’s pertinent phone numbers. In the Account Information box, choose the Class and Status from the drop down box. The most often used Status is Active. Fill in the date of the New Account Form. If the account has a Restricted Status i.e. the client is a bank employee or a FINRA representative, choose that from the box.

17. Patriot Act/Citizenship Information

18. Use the drop down boxes for the Clearance Type, ID Type, and ID Issuer. Enter the ID Number. Enter the dates issued and/or expires. Enter the name of the person who looked at the client’s id in the Cleared By box and the date. Choose the client’s Citizenship Status from the drop down. If he/she is not a citizen, fill in the other Citizenship boxes. Choose the Resident state from the drop down.

19. OFAC Information

20. You must run an OFAC check on each client in a registration. The OFAC screen is shown below without any information. First, you must check the client’s OFAC report. Press the blue OFAC Internet Lookup at the bottom of the box. This will initiate the FINRA OFAC site as shown in the next screen shot. Enter the name(s) of the clients. Choose all of the words from the drop down menu and push submit query. Hopefully, your clients will have zero hits. If your client shows a positive hit, you must report it to the Compliance Officer. The next slide shows and example of the OFAC Lookup screen

22. Next you need to print this page to a pdf. Push file/print, choose adobe pdf and push print. The computer will prompt you for a file name. Name the file OFAC and save it to your desktop to be imaged later.

23. Financial Information

24. In the Financial Information box, the dates requested are the date of the new account form or the date the financial information is subsequently updated. Fill in the rest of the information by either typing the information or using the drop downs.

25. Banking Information

26. The Bank Information box is self-explanatory

27. Employer Information

28. The Employer Information is self-explanatory. However, if the client is Retired, type that in and include what they retired from. For example: Retired – School Teacher, Retired - Doctor

29. Attaching Images You can attach images at any time but you must be in the customer to whose account you want to attach the image. Press Image in the pane at the left of the screen to bring up the Image screen.

30. Press Add New Image at the top of the screen. Choose Image Type from the drop down box.

31. Add description of Image Type in the notes field.

32. Press Select button to select pdf file from your computer to upload. Select file then press open button. Press Upload button to load file to customer profile.