As the year is coming to an end, and as we begin to look forward into 2022, we wanted to take time to look back at the amazing work delivered by the entire eQuipt team. There have been major improvements to our eDelivery enrollment solutions across the eQuipt Dashboard, Client Portal, and New Accounts solutions, which we hope made a positive impact to your practice. We’ve also expanded the registration type offerings in eQuipt for New Accounts to now bring us to 98% of registration-type support that we see opened on an annual basis. To the theme of improvements made to eQuipt for New Accounts, we have a few new items and bug fixes we wanted to deliver before year-end.

When opening accounts, all new Financial Professionals now have the BD Recruitment Form in their clients’ eSign Packet. Once the Financial Professional is affiliated for more than 90 days, the form will no longer be included in the client eSign packet. This form does not show up for Financial Professionals that have been affiliated for more than 90 days. The 90-day timeframe is based on the Firm Approval date of the Financial Professional’s Primary Rep Code and does not consider Secondary or Split Rep codes.

NOTE: If you’re only opening a Non-brokerage account, the BD Recruitment form for new financial professionals will not be included in the client eSign packet.  

Now, the current Age of Termination options are available in eQuipt for New Accounts when you open UGMA or UTMA accounts.

The eQuipt for New Accounts Client Signature page now generates the most current version of the Client Agreement Form and includes it in the client’s eSign Packet.

Bug Fix: NFS Account Opening Errors on Client Address Character Limits
Before the fix, some NFS users may have experienced account opening errors for clients with long addresses. Now, address fields are the same as NFS’ character limits.

Bug Fix: Pershing Additional Assets Transfer Form – Brokerage Fund Account Numbers Populated
Before the fix, some Pershing users may have seen a Fund Account Number on the Additional Assets Transfer Form even if the transfer type was brokerage. Now, the form will no longer auto-populate a fund account number on brokerage accounts when filling out the Additional Assets Transfer form.

Feature Gap Upgrade: Transfers Without Listing Assets When Selecting "Liquidate All Assets Listed" (Pershing Only)
Before the fix, some financial professionals who clear through Pershing were able to select “Liquidate all assets listed” when requesting funding via Transfer without adding any assets. Now, if “Liquidate all assets listed” is selected, you will be required to list assets before being allowed to progress to the next page.

Minor Update: eSigned Document Routing Process
This fix ensures that all documents, whether manually uploaded, e-signed, or a combination of the two, will be routed to the appropriate Advisor Group work queues for processing.

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