Managing Aliases

Aliases for firms, officesClosedAn 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., repsClosedA 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., and partnershipsClosedA partnership is a contact connection in the intermediary business hierarchy, though it is really a name for a group of reps working together to sell one or more products. A partnership, sometimes called a rep partnership, is treated as a special type of rep: this means that most of the tools for working with reps may be used to work with partnerships as well. Most views of transactions associated with an individual rep generally don't include transactions or parts of transactions that the rep may have cleared as part of a partnership. Instead, these kinds of trades are listed only for the rep partnership. Each member's portion of rep partnership sales data is always based on the percentages currently assigned to each member; no long-term historical information about percentages is maintained. SalesConnect does not store any calculated trade or asset values based on rep partnerships. If you need to write queries or reports: The primary data for partnerships is stored in the Contact, Rep Partnership, and Rep Profile tables. The Rep Alias table stores trading IDs associated with partnerships as well as reps. link trades and assets to these connectionsClosedConnections 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.. Since firms, offices, reps, and partnerships may have one or many aliases, SalesConnect links aliases back to specific organizations, people and groups. When you add intermediary connections, you can add aliases at the same time. See Adding Connections for details. Or you can use the Aliases tab of connection detail pages to review and maintain aliases; you may be able to hover over links on those tabs to display related information and then click them for more details. Tthe AliasClosedAn 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. History tabs on those pages show alias maintenance: new aliases added, existing aliases changed, alias reassignments, and alias deletions.

An Aliases field is included on the Information tab of connection detail pages; you can select the number in that field to see a popup listing the associated aliases. Select the number again to close the popup.

You may be able to:

  1. On the Aliases tab of a connection's detail page, select Add. For help displaying a connection's detail page, see Adding Connections for details.

  2. Complete the displayed Add Alias page to define the new alias. Some fields may already be completed, based on existing information.

    Tips

  3. Select Save.

    • Duplicate checking occurs when you save an alias. If an alias you've added appears to duplicate information already in SalesConnect, a warning popup is shown. Follow instructions on the popup to handle the potential duplicate appropriately. If you have added an alias that's set to Synch with FID, it's synched, unless it duplicates a record already in FID.
    • 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.
  1. On the Aliases tab of a connection's detail page, select the link for the alias you want; be sure to select the appropriate links, as links may be shown for related aliases as well. For help displaying a connection's detail page, see Adding Connections for details.

  2. Change or add information on the displayed Edit Alias page as needed.

    Tips

    • For office and firm aliases, you can specify an alias in Remap Firm to which this alias should be remapped during systematic trade or asset processing. When a firm may clear trades under two different aliases and you don't want to define a complete set of rep and office aliases for each firm alias, this option allows you to define a secondary trading ID for the firm as a firm alias, and then use Remap Firm to indicate that trades cleared under this it should be remapped to the other alias for the firm.
    • For firm aliases where the Transfer Agent is "Fidelity" or "Schwab": A Firm Aliases tab is included on the page. You can use it to add or change names that may be associated with incoming transactions or assets that have this alias.
    • For rep aliases, details for matching FID reps may be listed in a table on the page.
    • You may be able to set a Closed Date when appropriate.

    • Change Synch with FID if necessary.

      • Check Synch with FID if you want to ensure that the information for this connection and alias are synchronized to any matching records in FID.
      • If you want to prevent cascading changes from changing this setting and you are authorized to do so, you may be able to check Sync with FID Locked. (Settings may be inherited from a parent entity if Inherit Sync to FID is enabled for your application.) However, be aware that:
        • Checking this option will prevent changes made by Universal Dealer to Synch with FID from synchronizing to the your SalesConnect system.
        • If Cascade Sync to FID Changes is enabled for your application, when the primary trading ID/alias is locked, its value for these checkboxes is cascaded to all other aliases for the same connection. (The Edit Sync to FID Locked security rule determines which roles and users can use the Locked checkbox here.)
    • Select or enter a Comment that will become part of the associated maintenance record.
    • You can set Filter Rules for the alias, if appropriate. Select an option in Transactions to set how transactions with this alias are handling during systematic resolution. Select an option in Assets to set how assets with this alias are handled. See Maintaining Resolution Lists and Maintaining Transaction Account Rules for information about other types of filter rules.

  3. Select Save.

    • If you have set an alias' Status to Inactive but have not set a Closed Date for it, you may be prompted to do so. If appropriate, information for the alias changes is synchronized to FID.
    • Duplicate checking occurs when you save an alias. If an alias you've added appears to duplicate information already in SalesConnect, a warning popup is shown. Follow instructions on the popup to handle the potential duplicate appropriately. If you have added an alias that's set to Synch with FID, it's synched, unless it duplicates a record already in FID.
    • 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.

  1. On the Aliases tab of a rep's or partnership's detail page, select the link for the alias you want; be sure to select the appropriate links, as links may be shown for related aliases as well. For help displaying a connection's detail page, see Searching for Connections for details.

  2. On the displayed Edit Rep Alias page, select Move.

  3. Use the Destination section of the Move Rep Alias page to select the rep or partnership to which the alias should be moved:

    1. If you need to change the office with which the alias is associated: Select next to the Destination Office field, and use the Office Drill popup to search for and select the office you want using in the table. The name of the selected office is shown in the Destination Office field.
    2. Select the rep or partnership to which the alias should be moved: Select next to the Destination Rep field, and use the ContactClosedAny 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. Drill popup to search for and select the rep or partnership you want using in the table. The name of the selected rep or partnership is shown in the Destination Rep field.
  4. Enter the date on which the reassignment was effective in Effective Date. (Future dates are not allowed.) The effective date is used to determine which trades associated with the trading alias should also be reassigned to the selected rep or partnership: Any trades resolved to the selected alias on or after the effective date will automatically be reassigned to the rep or partnership to which the trading ID is being moved.

  5. Select Move on the Move Rep Alias page.

    • If you have attempted to reassign the last alias assigned to a rep or partnership, an error indicates that this isn't supported. You will need to add a new alias for the rep or rep partnership before you can reassign this alias.
    • Duplicate checking occurs when you save an alias. If an alias you've added appears to duplicate information already in SalesConnect, a warning popup is shown. Follow instructions on the popup to handle the potential duplicate appropriately. If you have added an alias that's set to Synch with FID, it's synched, unless it duplicates a record already in FID.
    • 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.
  1. In the table on the Aliases tab of an office's detail page, select the checkboxes for the aliases you want to reassign to a single different office. For help displaying a connection's detail page, see Searching for Connections for details.
  2. Select Reassign above the table. The Reassign Office Aliases page is shown.
  3. Select next to the Destination Office field, and use the Office Drill popup to search for and select the office you want using in the table. The name of the selected office is shown in the Destination Office field.
  4. Select or enter a Comment that will become part of the associated maintenance record.

  5. Select Reassign on the Reassign Office Aliases page.

    • If you have attempted to reassign the last alias assigned to an office, you'll be prompted to delete that office or change it to a satellite office.
    • Duplicate checking occurs when you save an alias. If an alias you've added appears to duplicate information already in SalesConnect, a warning popup is shown. Follow instructions on the popup to handle the potential duplicate appropriately. If you have added an alias that's set to Synch with FID, it's synched, unless it duplicates a record already in FID.
    • Any change to an alias set to synchronize to FID results in those changes being posted to FID in an appropriate manner.

  • On the Aliases tab of a connection's detail page, select the checkboxes for the aliases you want, and then select Delete above the table.

    • You may be asked to confirm this.
    • You may be warned if you have attempted to delete the last alias for the connection. For an office, you may be prompted to either add a new alias for the office or convert it to a satellite office.

    For help displaying a connection's detail page, see Searching for Connections for details.

    Any change to an alias set to synchronize to FID results in those changes being posted to FID in an appropriate manner.