When logging into the Dashboard go to:

1. When logging into the Dashboard go to: https://www.rep-on-line.com/CFS/Login.aspx?ReturnUrl=%2fcfs%2fdashboard.aspx Insert your Username and Password and click on the LOGIN button

2. This is the opening screen. On the left you see the different options you have.

3. Under MY CUSTOMERS, the first item lets you know if there are any customers which need your attention. These would be customers missing required information.

4. My Tickets: This is where you see the status of TFA’s (Ticket For Approval)

5. My Orders: This is where you see the status of Orders in the system. If you see orders in Suspended/Hold, this means there is a problem with a client which is causing an order to be suspended or held.

6. My Reports: Your commission statements, Unpaid Orders, TFA Blotter and Customer Holdings.

7. My Total Commissions by Month shows this year and, if applicable, last year commissions in a graph My Pending Orders shows all of the orders in the system that haven’t been paid and their status

8. The next few slides will discuss how to enter a client’s information into the system. On the Customer Tab, press Add New. To save your work at any time, press the green check mark button next to Add New. Please save your work often!

9. In the Client Information box, enter the client’s first name, initial, and last name. The format for the search id is last name first name middle initial registration. Do not enter any punctuation as that can cause reporting errors. Below are examples of the most common formats for the search id: Mouse Mickey (for individuals) Mouse Mickey IRA (for IRA) Mouse Mickey SEP (for a SEP IRA) Mouse Mickey SIRA (for Simple IRA) Mouse Mickey RIRA (for Roth IRA) Mouse Mickey & Minnie JTWROS (for joint accounts) Mouse Mickey FBO Jimmy (for 529 accounts) ***The search ID for UGMA’s and custodial retirement accounts should be the person to whom the TIN belongs. In the registration lines, enter the custodian (Mickey Mouse Cust) and the child (FBO Annie Mouse) on the first and second registration lines, respectively.

10. Mickey’s IRA

11. Mickey & Minnie’s Joint Account

12. Mickey’s 529 for Pluto

13. Mickey’s UGMA/UTMA for Pluto

14. The registration format should be first name, middle initial, last name. Enter one name per line. Enter the address to which the client would like correspondence sent. If using a P.O. Box as the mailing address, you must enter a physical address in the Alternate Address Information box at the bottom. The system will tab from the address field to the zip code field. Once the zip code is entered, the system will populate the city and state fields. Choose the account type from the drop down menu. Enter the social security number. Once you tab to the rep field, the social security number will be replaced by asterisks to fulfill Reg S-P requirements. Use the drop down menu on either Rep Search ID or Rep Number to locate the correct rep.

15. Phone and Account Information

16. Enter the client’s pertinent phone numbers. In the Account Information box, choose the Class and Status from the drop down box. The most often used Status is Active. Fill in the date of the New Account Form. If the account has a Restricted Status i.e. the client is a bank employee or a FINRA representative, choose that from the box.

17. Patriot Act/Citizenship Information

18. Use the drop down boxes for the Clearance Type, ID Type, and ID Issuer. Enter the ID Number. Enter the dates issued and/or expires. Enter the name of the person who looked at the client’s id in the Cleared By box and the date. Choose the client’s Citizenship Status from the drop down. If he/she is not a citizen, fill in the other Citizenship boxes. Choose the Resident state from the drop down.

19. OFAC Information

20. You must run an OFAC check on each client in a registration. The OFAC screen is shown below without any information. First, you must check the client’s OFAC report. Press the blue OFAC Internet Lookup at the bottom of the box. This will initiate the FINRA OFAC site as shown in the next screen shot. Enter the name(s) of the clients. Choose all of the words from the drop down menu and push submit query. Hopefully, your clients will have zero hits. If your client shows a positive hit, you must report it to the Compliance Officer. The next slide shows and example of the OFAC Lookup screen

22. Next you need to print this page to a pdf. Push file/print, choose adobe pdf and push print. The computer will prompt you for a file name. Name the file OFAC and save it to your desktop to be imaged later.

23. Attaching Images You can attach images at any time but you must be in the customer to whose account you want to attach the image. Press Image in the pane at the left of the screen to bring up the Image screen.

24. Press Add New Item at the top of the screen. Choose the document type from the drop down box. Type whatever title information desired in the next box. Press the green check mark to the left of the drop down box.

25. Press select. Press upload new.

26. Use the select button to browse to the location where you saved your image. Press upload.

27. Next, fill in the OFAC tab. Use the drop down to find the FINRA Online SDN Lookup. In the Checked By field, enter the name of the person checking it. Enter the date you checked it. After you check it, you should enter Not Found from the drop down in the Results box. Again, if the client is found, report it to the Compliance Officer.

28. Financial and Bank Information

29. In the Financial Information box, the dates requested are the date of the new account form or the date the financial information is subsequently updated. Fill in the rest of the information by either typing the information or using the drop downs. The Bank Information box is self-explanatory.

30. Employer Information

31. The Employer Information is self-explanatory. However, if the client is Retired, type that in and include what they retired from. For example: Retired – School Teacher, Retired - Doctor

32. The next slides will discuss how to enter orders into the system. Click On the Orders Tab, press Add New. To save your work at any time, press the green check mark button next to Add New.

33. Enter Order Type and Purchase CodeEnter Customer Info from dropdown arrow or by typing last name of client.Once you enter the client info it will automatically populate the Representative & Customer Info

34. Enter Product Information by typing the name of product or using dropdown menu to search.Nothing in the General Info area needs to be populated.

35. In the Amounts area enter Investment Amount and click the green check mark button to save the order.

36. The next few screens show all of the customer fields. The fields highlighted in YELLOW are required fields. If you don’t fill in the missing data, the account will be held and no commissions will be paid.