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Home » Internal- Onboarding- New Clients

Step 1 of 5

20%

Onboarding Investment Account New Clients

MM slash DD slash YYYY
MM slash DD slash YYYY
This task request is for: (check all that apply)

General Information- Client #1

Client #1 Full Legal Name
Is Client #1 in Salesforce?
Who is putting the information in Salesforce?
Is there a completed contact form?
*If NEW CLIENT, you will need to provide e-mail and phone numbers for all signing parties to begin the paperwork. THERE WILL BE A DELAY IF NO INFO IS PROVIDED.

Account Openings- Client #1

Does Client #1 need the admin team to facilitate account openings?
Are some of Client #1's accounts not to be opened right away?
Has a risk tolerance score been created in Riskalyze?
If NO, who is gathering risk score from client?
NowDelayed
INDIVIDUAL
JOINT
IRA
ROTH IRA
SEP IRA
SIMPLE IRA
UGMA
UTMA
Solo 401k
DEC IRA/ ROTH
Other
YesNo
INDIVIDUAL
JOINT
IRA
ROTH IRA
SEP IRA
SIMPLE IRA
UGMA
UTMA
Solo 401k
DEC IRA/ ROTH
Other
Delayed Account Openings- Client #1
Please fill out the information below on all accounts that need a delayed opening.
Account Type
When should the client be contacted:
Who is contacting the client at this date?
Notes
 
Beneficiaries:
First Name:
Last Name:
Social Security Number:
Birthdate:
Relationship:
Percentage:
Type of Beneficiary: (Primary, Contingent):
Phone:
Email:
Applies to all accounts:
 

Rollovers-Client #1

Does Client #1 need the admin team to facilitate 401K rollovers?
Client #1 paper statements are in file:
Rollovers
Plan Provider
Rollover Amount
Plan Phone Number
 
Drop files here or
Max. file size: 100 MB.

    Account Transfer-Client #1

    Does Client #1 need the admin team to facilitate account transfers?
    Client #1 paper statements are in file:
    Transfers
    Account #- TD Ameritrade
    Delivering Firm
    Account Type
    Account #- Incoming Account
    Expected Amount
    Notes
     
    Drop files here or
    Max. file size: 100 MB.

      Move Money Requests- Client #1

      Does Client #1 need the admin team to facilitate move money requests?
      Is this information confirmed with Client #1?
      Are the Move Money Requests coming from a Joint Bank Account?
      Move Money Requests
      Account Number -TD Ameritrade
      Delivering Bank Name
      Bank Account #- Last 4 Digits
      Amount
      Frequency- One-time, weekly, bi-weekly, monthly, quarterly, annually
      Date to Begin-1-28th
       

      General Information- Client #2

      Client #2 Full Legal Name
      Is Client #2 in Salesforce?
      Who is putting the information in Salesforce?
      Is there a completed contact form?
      *If NEW CLIENT, you will need to provide e-mail and phone numbers for all signing parties to begin the paperwork. THERE WILL BE A DELAY IF NO INFO IS PROVIDED.

      Account Openings- Client #2

      Does Client #2 need the admin team to facilitate account openings?
      Are some of Client #2's accounts not to be opened right away?
      Has a risk tolerance score been created in Riskalyze?
      If NO, who is gathering risk score from client?
      NowDelayed
      INDIVIDUAL
      JOINT
      IRA
      ROTH IRA
      SEP IRA
      SIMPLE IRA
      UGMA
      UTMA
      Solo 401k
      DEC IRA/ ROTH
      Other
      YesNo
      INDIVIDUAL
      JOINT
      IRA
      ROTH IRA
      SEP IRA
      SIMPLE IRA
      UGMA
      UTMA
      Solo 401k
      DEC IRA/ ROTH
      Other
      Delayed Account Openings- Client #2
      Please fill out the information below on all accounts that need a delayed opening.
      Account Type
      When should the client be contacted:
      Who is contacting the client at this date?
      Notes
       
      Beneficiaries:
      First Name:
      Last Name:
      Social Security Number:
      Birthdate:
      Relationship:
      Percentage:
      Type of Beneficiary: (Primary, Contingent):
      Phone:
      Email:
      Applies to all accounts:
       

      Rollovers-Client #2

      Does Client #2 need the admin team to facilitate 401K rollovers?
      Client #2 paper statements are in file:
      Rollovers
      Plan Provider
      Rollover Amount
      Plan Phone Number
       
      Drop files here or
      Max. file size: 100 MB.

        Account Transfer-Client #2

        Does Client #2 need the admin team to facilitate account transfers?
        Client #2 paper statements are in file:
        Transfers
        Account #- TD Ameritrade
        Delivering Firm
        Account Type
        Account #- Incoming Account
        Expected Amount
        Notes
         
        Drop files here or
        Max. file size: 100 MB.

          Move Money Requests- Client #2

          Does Client #2 need the admin team to facilitate move money requests?
          Is this information confirmed with Client #2?
          Are the Move Money Requests coming from a Joint Bank Account?
          Move Money Requests
          Account Number -TD Ameritrade
          Delivering Bank Name
          Bank Account #- Last 4 Digits
          Amount
          Frequency- One-time, weekly, bi-weekly, monthly, quarterly, annually
          Date to Begin-1-28th
           

          General Information- Dependents

          Dependent Full Legal Name
          First
          Middle
          Last
           

          Account Openings- Dependents

          Do the dependent(s) need the admin team to facilitate account openings?
          Are some of the dependent(s) accounts not to be opened right away?
          Account Openings For Dependent(s)
          Dependent Name
          Account Type
          Has a statement of investment selection been created in Envestnet?
          Notes
           
          Delayed Account Openings- Dependents
          Dependent Name
          Account Type
          When should the client be contacted?
          Who will contact at this date?
          Notes
           
          Beneficiaries:
          First Name:
          Last Name:
          Social Security Number:
          Birthdate:
          Relationship:
          Percentage:
          Type of Beneficiary: (Primary, Contingent):
          Phone:
          Email:
          Applies to all accounts:
           

          Account Transfers- Dependents

          Do the dependent(s) need the admin team to facilitate account transfers?
          Are the statements in household file?
          Transfers- Dependent Accounts
          Dependent Name
          Account #- TD Ameritrade
          Delivering Firm
          Account Type
          Account #- Incoming Account
          Expected Amount
          Notes
           
          Drop files here or
          Max. file size: 100 MB.

            Move Money- Dependents

            Does the dependent(s) need the admin team to facilitate move money requests?
            Are these Move Money Requests coming from a Joint Bank Account?
            Move Money Requests- Dependents
            Account Number -TD Ameritrade
            Delivering Bank Name
            Bank Account #- Last 4 Digits
            Amount
            Frequency- One-time, weekly, bi-weekly, monthly, quarterly, annually
            Date to Begin-1-28th
             

            General Information- Client #3

            Client #3 Full Legal Name
            Is Client #3 in Salesforce?
            Who is putting the information in Salesforce?
            Is there a completed contact form?
            *If NEW CLIENT, you will need to provide e-mail and phone numbers for all signing parties to begin the paperwork. THERE WILL BE A DELAY IF NO INFO IS PROVIDED.

            Account Openings- Client #3

            Does Client #3 need the admin team to facilitate account openings?
            Are some of Client #3's accounts not to be opened right away?
            Has a risk tolerance score been created in Riskalyze?
            If NO, who is gathering risk score from client?
            NowDelayed
            INDIVIDUAL
            JOINT
            IRA
            ROTH IRA
            SEP IRA
            SIMPLE IRA
            UGMA
            UTMA
            Solo 401k
            DEC IRA/ ROTH
            Other
            YesNo
            INDIVIDUAL
            JOINT
            IRA
            ROTH IRA
            SEP IRA
            SIMPLE IRA
            UGMA
            UTMA
            Solo 401k
            DEC IRA/ ROTH
            Other
            Delayed Account Openings- Client #3
            Please fill out the information below on all accounts that need a delayed opening.
            Account Type
            When should the client be contacted:
            Who is contacting the client at this date?
            Notes
             
            Beneficiaries:
            First Name:
            Last Name:
            Social Security Number:
            Birthdate:
            Relationship:
            Percentage:
            Type of Beneficiary: (Primary, Contingent):
            Phone:
            Email:
            Applies to all accounts:
             

            Rollovers-Client #3

            Does Client #3 need the admin team to facilitate 401K rollovers?
            Client #3 paper statements are in file:
            Rollovers
            Plan Provider
            Rollover Amount
            Plan Phone Number
             
            Drop files here or
            Max. file size: 100 MB.

              Account Transfer-Client #3

              Does Client #3 need the admin team to facilitate account transfers?
              Client #3 paper statements are in file:
              Transfers
              Dependent Name
              Account #- TD Ameritrade
              Delivering Firm
              Account Type
              Account #- Incoming Account
              Expected Amount
              Notes
               
              Drop files here or
              Max. file size: 100 MB.

                Move Money Requests- Client #3

                Does Client #3 need the admin team to facilitate move money requests?
                Is this information confirmed with Client #3?
                Are these Move Money Requests coming from a Joint Bank Account?
                Move Money Requests
                Account Number -TD Ameritrade
                Delivering Bank Name
                Bank Account #- Last 4 Digits
                Amount
                Frequency- One-time, weekly, bi-weekly, monthly, quarterly, annually
                Date to Begin-1-28th
                 
                List

                 

                 

                Contact Info

                Scarlet Oak Financial Services
                1117 Perimeter Center West,
                Suite W-212
                Atlanta, GA 30338

                800.871.1219

                fsykes@scarletoakfs.com

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                • About Us
                  • Faye Sykes
                  • Melinda Scaturro
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                  • Morgan Roopnarine
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