How To Become An Active User Of The System:

Advisors:

There are two paths to registration:

1. Your Broker Dealer may have registered you through an automated process. If they issued you with a User ID and Password, you can use it to log in.
2. Otherwise, you will have received a "Client Temporary Password” supplied by the Broker/Dealer. If this is what you have, proceed to the steps below.

Investors:

You will need to register with the Client Temporary Password you received from your advisor. Follow the steps below.

Steps to Complete Registration:

Initial Registration Page (appears at left):

1. Type in your Social Security Number without dashes (for example, 111223333).
2. Type in your Client Temporary Password/Authorization.
3. If you see a series of images under the Client Temporary Password field, please follow the on-screen instructions.
4. When completed, select the Next button.

User Agreement.

1. Read the User Agreement: and if acceptable select the Accept button.

Registration Form:

1. On this form, all fields marked with a asterisk (*) are required and must be entered. Please note, enter this information with care, as the information you enter at this point will carry to your performance reports.
   1. Enter a unique User Name and Password for your Account.
      • The User Name must be between 6 and 20 characters.
      • The User Name cannot contain the last 4 digits of your Social Security Number.
      • The Password cannot be the same as the Client Temporary Password. It must contain a minimum of 6 characters.

      Later, if you change your password from your Profile page after you log in, the new one must be different from your current password, and from your previous five (5) passwords.

   2. Select a Name Prefix from the Dropdown list.
   3. Enter your Last, First Name and Middle Initial as you wish it to be displayed.
   4. Enter your telephone and fax contact numbers.
   5. Enter your email address. Do not enter spaces. Your email address is an important means of automatic and direct contact. Ensure that it is correct and operational.
   6. Enter your Address including State from the Dropdown Box.
   7. Enter your Date of Birth.
   8. Advisors only: Enter your Business Name (or Doing Business As name), and if applicable, the RIA or IAR name.
   9. Advisors only, if requested: Enter a Temporary Password for client use. The Temporary Password must be between six (6) and ten (10) alphanumeric characters, and contain at least one letter and one number. Your clients will use this Temporary Password during Investor Registration (much like you used the one supplied by your Broker/Dealer to get to this point). This Client Temporary Password must be different from your own Password entered above.
2. When completed, select the Next button to continue.
   1. A Registration Confirmation message acknowledging your successful registration will display. Select OK.
   2. Your status as a user of the system is now "Pending".

Next Steps

Advisors:

• Your Broker/Dealer will be notified of your registration and pending approval. The Broker/Dealer will approve your registration to complete the registration process.
• Once the Broker/Dealer approves the registration, an email confirmation notice will be sent to your email address, informing you that you are approved, providing brief introductory information, and letting you know the system is now available for your login with the User Name and Password selected. Your status as user of the system is now "Active".

Investors:

• Your advisor will be notified of your Registration and pending approval.
• Once your advisor approves, a confirmation will be sent to you by email.