CLIENT ONBOARDING CHECKLIST

DATE: _____________NAME OF CLIENT: _____________________ APPROX. INVESTMENT: _________________ACCOUNTS TO BE OPENED: PAPERWORK + Documents NEEDED:

Date Completed:

1.) Laurie/Lou to give Judy a completed Client

Questionnaire.

2.) Judy will start a manila file for new client/prospect and attach the Client Onboarding Checklist to file.

3.) Create new client file on the S drive: Office – Individual Client Folders – Client Folders. Make a FIDELITY PAPERWORK and IA folder.

4.) Send Adriana contact info to put in mail chimp. Confirm new client folder in RedTail.

5.) Prepare two Investment Advisory Agreements. Laurie to confirm fee (S drive; office; new clients; advisory agreements)

6.) Go to WealthCentral and go to Services/New Account/set up/ Select the registration of account/ use information from the Client Questionnaire to fill in the information on the form.

7.) Call/email client letting him/her know paperwork is ready to be signed – How do they want it sent to them – email, mail or come in to the office.

8.) Prepare a letter to client explaining in detail what needs to be completed on the form and send with the paperwork.

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1.) Scan and save all paperwork in the client folder on the S drive.

2.) When paperwork comes back from client – scan to S drive in the FIDELTIY PAPERWORK folder then delete unsigned paperwork. Let client know we received the paperwork. (keep file size under 10 KB)

3.) Send paperwork through Document submission to Fidelity.

4.) EDS work reference #

5.) When Fidelity confirms the account number – send client an email letting him/her know that the account is set up and can be viewed online at Fidelity.com.

6.) If a TOA was processed, check for the incoming assets.

7.) Reconcile assets in to statement.

8.) Let client know when assets have arrived.

9.) Let Lou and Laurie know assets have arrived.

10.) Put client on the active or MF list in Fidelity – hit SAVE.

11.) In Fidelity add short name as: Last name, First name.

12.) In Black Diamond – assign account to a manager and a portfolio.

13.) Black Diamond – assign account to Catamount Managed Portfolios – set up – edit/delete portfolios/ Choose Catamount/ add acct #

14.) Send a LLbean bag as a thank you along with a handwritten thank you note.

15.) Scan original IA in client folder on S drive in the IAG folder and a hard folder. Send one to client

16.) Two weeks after assets have arrived, schedule a meeting. Set up reminder in RedTail.

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