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Advisory Tab |
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> Keep track of suitability information for complete NASD and SEC compliance. > Track assets under management and management fees. > Easily find the other advisors the client is engaged with.
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Both Registered Representatives and Fee Only advisors are required to track specific information about the client. NASD and SEC rules require you to know your client and we make it easy for you.
4Advisors tracks typical suitability information that is included on a new account form such as discretionary accounts, investment objective, investment experience and whether the contact is a financial member or affiliated with another financial firm. 4Advisors also tracks the last new account form, last ADV offer date and termination date. The Advisory screen also allows you to track total assets under management, management fees and investment income. You can even enter the names and phone numbers of other advisors the client uses. Any additional information on these advisors can be entered as separate contacts with an ID/Status of "Other Advisor". From these separate contacts, you can easily send emails, faxes, letters and even type in notes and histories. |
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