Adding a Contact or Rep

A contactAny individual person tracked in SalesConnect is a contact, which is one type of connection. So, reps, firm contacts, and office contacts—are all contacts. Partnerships and teams are also treated as contacts in SalesConnect, because you usually need to work with them in the same ways. is a connectionConnections are entities; they're the different types of companies and individuals you may need to track. SalesConnect is set up to display information about the types of connections you care about, based on the roles to which you are assigned., usually associated with at least one organization; a repA rep is perhaps the most important contact connection in the intermediary business hierarchy. Each rep is an individual who sells funds and is affiliated with an office (and through the office, with a broker/dealer firm). Reps may also be referred to as "financial advisors." Possibly the most critical information you can track for reps are aliases, also known as trading IDs. Aliases are the IDs that associate transactions and assets with each rep. If you need to write queries or reports: The primary data for reps is stored in the Contact and Rep Profile tables. The Rep Alias table stores trading IDs associated with reps. is really a contact who sells. You usually begin adding a contact or a rep from the organization's detail page.

1. On a page showing details for an organization, show the Contacts tab to list the associated contacts. To display these details, search for an organization (see Searching for Connections for details), or select one from your history ( in the universal menu) or bookmarks (Welcome > Bookmarks). You may want to use filter fields on the Contacts tab to list only the type of contact or rep you plan to add.
2. Above the contact list, select Add.

3. Complete the Add page with details for the new contact or rep; required fields are marked with an asterisk.

   Tips

   • You can use the Snapshots field to choose whether to add a rep or an office contactAn office contact is a contact connection in the intermediary business hierarchy, an individual affiliated with an office who is not a rep; that is, an office contact does not sell mutual funds, but does need to be tracked because he or she provides key support services. for an officeAn office is a connection in the intermediary business hierarchy, an organization subordinate to a broker/dealer firm. Offices are also sometimes referred to as "branches'; institutional firms have branches in SalesConnect. An office is affiliated with a single broker/dealer firm, and may have one or more reps directly affiliated with it. An office may have associated office contacts, as well. Possibly the most critical information you can track for offices are aliases, also known as trading IDs. Aliases are the IDs that associate transactions with each office. If you need to write queries or reports: The primary data for offices is stored in the Office table. Information about office trading IDs is stored in the Office Alias table..
   • Usually, a contact's address is first set to that of the associated organization; you can change it if necessary. To make sure that an address you enter isn't overwritten when the organization's address is updated, check Address Locked.
   • Rep Type (available when you are adding a rep) defaults to Registered Rep; if you want to change it, select to toggle the field to locked (), and then select the type you want in the dropdown. The lock ensures that the type you set isn't overwritten by the default.
   • TerritoriesIn a territory category, you can define as many named territories as you need to identify sales responsibilities. Territories are often divided geographically, and can include whole countries, states or provinces, or even ZIP/postal code ranges. Other criteria can be included for each territory, such as firm association or channel/subchannel definitions. If needed, you can filter offices, reps, partnerships, and teams to which a territory will apply by their firm association alone. Each territory can have one or more operators assigned to it; after territory assignments are set, permissions can be set to control the level of access each operator has to data (such as viewing or editing), based on his or her territory assignments. in specific territory categoriesA territory category represents one set of distinct territories that you need to maintain at the same time. A single territory category may not reflect how your sales force is distributed, so you can define up to fifteen (15) different territory categories in SalesConnect; however, only one version in each territory category can be current at any given time. Categories can represent particular lines of business (such as wirehouses or banks) or product lines (such as mutual funds or annuities), or any other meaningful division for which you need to support distinct sets of territories. Categories include as many named territories as you need to identify sales responsibilities. Named territories are often geographical in nature, but can also include channel/subchannel definitions and firm associations. Applicability also affects office and rep/partnership/team territory assignments: if a territory category is applicable to a firm, then entities associated with that firm can be assigned to territories in that category; but if the category is not applicable to a firm, then associated entities are not assigned to a defined territory in it, but are instead flagged "Not Applicable" for the category. as well as Distribution Channel and Distribution Subchannel may be set automatically based on rules in SalesConnect. If you need to change any of these values, you may be able to add a lock: If necessary, select the icon next to a field to to ensure that is shown for it, and then select the value you want in the associated dropdown. The lock ensures that the value you set isn't overwritten by the current defaults.
   • The fields in the Client Defined Field Information section may default to the values set for the same client-defined fieldsEach SalesConnect client may define up to 5 custom fields, known as client-defined fields. Only authorized client operators can set client-defined field descriptions and valid values for each client-defined field. One value for each of the defined fields may be assigned to each firm and rep. If a firm has a value for a particular client-defined field, that value will cascade to any new reps added in association to that firm. (Existing reps are not updated.) Operators can change assigned values for either firms or reps. for the associated firmA broker/dealer firm (or broker dealer or broker-dealer) is a connection associated with intermediary business, typically a top-level organization in this hierarchy. Broker/dealer firms are also sometimes referred to as just "firms" or "brokers" or "dealers" or "financial institutions." Each broker/dealer firm may have one or more offices affiliated with it, and through these offices, reps may also be affiliated with it. A broker/dealer firm may have associated firm contacts, as well. Possibly the most critical information you can track for broker/dealer firms are aliases, also known as trading IDs. Aliases are the IDs that associate transactions with each broker/dealer firm. If you need to write queries or reports: The primary data for broker/dealer firms is stored in the Firm table. The Firm Alias table stores trading IDs associated with broker/dealer firms.. You can change values for them if necessary.

   • You may be able to add one or more aliases for a rep:

     1. If necessary, expand the Rep Aliases section.

     2. Complete the fields with information for an aliasAn alias is a trading ID for a intermediary connection (broker/dealer firm, office and/or rep or rep partnership). An office alias must be associated with a single, specific firm-level trading ID. A rep alias must be associated with a single, specific firm trading ID and a single, specific office trading ID. Each tracked trade is linked to a single specific set of aliases; most trades will be associated with a firm, office and rep alias, but some may be associated only with a firm and/or office alias, if the trades were not resolved to the rep level. If you need to write queries or reports: The primary data for aliases is stored in the Firm Alias, Office Alias, and Rep Alias tables. for this rep.

        Tips

        • You can use to find and select an appropriate Office Trading ID; using this option automatically completes Firm Trading ID, too.
        • If you select DST Systems in Transfer Agent and complete the other fields with information for the new alias, a Lookup In FID button may become available. You can select it to display a dialog that lists any existing records in FID that match the information you've entered; close the dialog when you've finished with it. Ensure that Synch with FID is selected if you want to copy the information for this connection and alias to any matching records in FID.
     3. Select Add More if you need to add another alias, and then complete information for it. You can do this for as many aliases as you need to add.

4. Select Save.

   • You may be asked whether you want to keep the address you entered or use one suggested by Finalist, the address validation tool used in SalesConnect. You won't be able to continue until you select an option.
   • Duplicate checking occurs when you save a connection. If the connection or an alias added for it (or for a rep, the CRD number) appears to duplicate information already in SalesConnect, a warning popup is shown. Follow instructions on the popup to handle the potential duplicate appropriately.
   • Any Rep Trading ID that you entered is checked against the Rep Number Format values associated with the office or firm involved. You'll be prompted to change the value if that's necessary to comply with an expected format.
   • Any change to an alias set to synchronize to FID results in those changes being posted to FID in an appropriate manner.
   • If your SalesConnect system is set to pass your updates to UD-maintained connections back to UD, your changes (this maintenance transaction) may be shared with UD for review and action.

   Once a new contact or rep is saved, a page showing details and more options for that individual is displayed. You can use the page and its tabs to add or review more information related to the contact or rep, including relationships to other connections:

   • The Firm and Office fields' values are links you can select to view details for the associated firm and office.
   • In some sections, you can edit information: Select to make fields editable, and then select to save your changes and make the fields read-only again.