Marketing Coordinator Back-up Training Packet

2008

For internal use only. Not for inspection by, distribution or quotation to the general public.

Position overview

Orientation - Your responsibilities

Required software and setup Needs analysis

Software training
Job training Development

For internal use only. Not for inspection by, distribution or quotation to the general public.

Your responsibilities

Assist with forms release

Submissions to ELROY and Compass Content Request Databases Brokerage sales literature orders

For internal use only. Not for inspection by, distribution or quotation to the general public.

Required Software and Setup Lotus Notes Database needed include: Compass Content Request, ELROY, Corporate Communications, LN Brokerage Order Microsoft Suite Adobe Professional AdvisorCompass eForms Manager eCatalog

Data14$ on 'Wmpif515'
Cssvol1 on 'Ids_001\Vol1' Data10$ on Wmpif517

For internal use only. Not for inspection by, distribution or quotation to the general public.

Software Training List

Lotus Notes Upon first opening use training provided, Databases sent in one email ELROY Cindy J. Webster AdvisorCompass Browse portals listed below and allow time to review. eForms Managerhttps://Compass.ampadvisor.aexp.com/portal/site/pilot/menuite m.c15452e2149e88f114e8289559013859/?launchId=hn eCatalog http://ecatalog.ampf.com/eCatalog/AMPF/Help/AmexGettingSt arted/GetStartedMain.htm

http://ecatalog.ampf.com/eCatalog/OrderHelp.aspx
Microsoft Access David Hatch Data14$ on 'Wmpif515' - David Hatch Cssvol1 on 'Ids_001\Vol1 - David Hatch

For internal use only. Not for inspection by, distribution or quotation to the general public.

Introduction to forms

2008

For internal use only. Not for inspection by, distribution or quotation to the general public.

Forms process training schedule

Product and services

Field structure Forms process

Forms structure
Where are forms housed Meet the key players AOS formally CFM

Review: product managers, legal, compliance, risk, etc.

Review: acronyms, trademarks, branding

For internal use only. Not for inspection by, distribution or quotation to the general public.

Products and services

Brokerage:
Ameriprise ONE Financial Account Self Managed Brokerage Account (SMBA) Non - proprietary mutual funds Stocks, bonds, and options Non - proprietary insurance B List annuities

Managed Products:
SMA Active Portfolios SPS Advantage

External Products:
Alternative investments: REITs, TICs, Fund of Hedge Funds, 1031 exchanges Education savings plans: 529 Plans, Coverdells

For internal use only. Not for inspection by, distribution or quotation to the general public.

Brokerage

Ameriprise ONE Financial Account - The ONE Financial Account bring the clients asset together to provide a better understanding of a clients current financial situation. This can make it easier for the client and financial advisor to develop tailored solutions for the clients financial goals. Self Managed Brokerage Account (SMBA) Tom Westlund manages we help as needed

For internal use only. Not for inspection by, distribution or quotation to the general public.

Brokerage
Application Non-qualified: (Includes ONE Financial Accounts) 8190 Advisor- Offers ONE Features 7109 Client 200744 FSC 413029 Direct/ESO Client Agreement Client Agreement Non-qualified: 8020 Brokerage Fees: 200063 Application IRA: 8323 200745 FSC 7723 Direct/ESO Self Managed Brokerage Account (SMBA) (# 29) Tom Westlund manages we help as needed Client Agreement Qualified: 7722 Discretionary Trading: 402041, 402042
For internal use only. Not for inspection by, distribution or quotation to the general public.

Additional Forms Dont change much Account Features: Application Qualified: Qualified Plans/TSCA 402009 15028 to add ONE Features to Brokerage or SPSA

Direct Deposit: 8321

Commission Schedule: Brokerage Only 200030

Qualified: 7722

Margin Agreement: 200252

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Managed products overview Premier Portfolio Services Ameriprise Strategic Portfolio Service (SPS) Advantage A service that provides the convenience of bringing your investments together within one portfolio allocated according to your investment needs. Active Portfolios An integrated solution designed to produce sustainable, inflation-adjusted income over a fixed period of time, or consistent, riskadjusted returns through a disciplined, quantitative process.

Separately Managed Accounts (SMA) A personalized portfolio of individual securities that allows for greater control and transparency of holdings through direct ownership.

For internal use only. Not for inspection by, distribution or quotation to the general public.

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Managed products Premier Portfolio Services

Umbrella over Active Portfolios , SMAs and SPS Advantage only

Applications Non-qualified: (Includes ONE Financial Accounts) 413017

IRA:
413018 TSCA/Qualified Plans: 413058 Additional Forms Only Advisors see them or Advisor facing Universal Change request: Client Agreement

413022 Active Portfolios /SMAs

Used for Non-qualified and Qualified (all products)

413020 Temporary: 402032 FSC Pilot- only separate on pilot Wrap Fee Calculation Worksheet: SPS Advantage only Client Disclosure Brochure (ADV) (used for Non-qualified and Qualified) Updated annually & supplement there after. 413021 430008 Premier Quick Reference Guide: 413038

For internal use only. Not for inspection by, distribution or quotation to the general public.

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External products group - EPG

Alternative investments:
Real Estate Investment Trusts (REITs) Is an invest in commercial properties, such as hotels, shopping malls, apartment buildings and office space. By law, they have to pass on nearly all their income, after expenses, to investors. Tenant - In - Common (TICs) - An investment whereby multiple individuals can hold title to real property. If certain requirements are satisfied, it may allow real property investors to defer capital gains via a 1031 exchange. Owner/owners are allowed to own an undivided fractional interest in the entire property, while alleviating the responsibilities of active property management. Under this co-ownership structure, the client will own an undivided fractional interest in an entire property and share in their portion of the net income, tax shelters, and growth. Further, they will receive a separate deed and title insurance for their percentage interest in the property and generally have the same rights as a single owner. Fund of Hedge Funds (FoHF) - a fund of hedge funds is a diversified portfolio of generally uncorrelated hedge funds. These funds maybe widely diversified, sector-based or geographically focused. In general, funds of hedge funds seek to deliver more consistent returns than stock portfolios, mutual funds or individual hedge funds, while providing access to a broad range of investment styles, strategies and hedge fund managers.

Education savings plans:

529 College Savings Plan - A 529 Plan targets college tuition and expenses. It stays under your control, plus it offers certain tax and contribution advantages. Coverdell Education Savings Account - Also offers tax benefits. It has a maximum contribution limit of $2,000 per year.

For internal use only. Not for inspection by, distribution or quotation to the general public.

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External products group - EPG

Dont change as often / No qualified and non- qualified
Real Estate Investment Trusts (REITs) 200728 Product Owner - Heide X Ahmann Tenant In - Common (TICs) 401058, 401056, 231717 Product Owner Dena Froiland Fund of Hedge Funds (FoHF) - moving to EPG in August 2007 413019 - changing to 291039 in August 07 402067 402067-Inst. Product Owner - Jennifer Simon 529 Plans (13 current hypothetical's) 200880, 200881, 200882, 200883, 200884, 200885, 200886, 200887, 200888, 200889, 200891, 200892, 200893, 200953, 401058, 402012, 402015, 402016 Product Owner - Dan Knutson

For internal use only. Not for inspection by, distribution or quotation to the general public.

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Structure
Client
ameriprise.com

Advisor
eForms Manager, eCatalog, Printed, ameriprise.com

Financial Services Center (FSC)

Clients without a P1 or P2 advisor use these P4 Advisors

Direct / ESO
Direct and Employee Stock Options

Several version of the same form are available to fit the end user: Advisor facing, Client facing, etc. For most of the 3 product groups listed below there are 4 of each form.

Brokerage / ONE
ONE and SMBA No Advisor needed

Managed products / Premier Portfolio Services

SPS Advantage, SMA, Active Portfolios

External Products Group (EPG)

529 Plans, Coverdell, REITs, TICs, Fund of Hedge Funds (FoHF)

For internal use only. Not for inspection by, distribution or quotation to the general public.

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Forms Process
Coordinate intake process with product and stakeholders

Communicate with AOS what intake or changes need to be made to what forms for the upcoming release
Review stakeholders list with AOS and product owners for all forms included in the intake Meet and discuss with product and other stakeholders to determine the scope of the intake proposed. Ask for mockup information from product and stakeholders Combine all mockup information and submit to AOS by requested deadline Review revisions sent from AOS and send out revisions for further review by stakeholders

Communicate with AOS any additional changes to the form per revisions
Finalize and obtain sign-off on the new revised form by AOSs release deadline Review business rules and communicate any changes to AOS

Complete forms testing per AOSs direction and provide final sign-off

For internal use only. Not for inspection by, distribution or quotation to the general public.

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Where are forms housed

Interactive:
Simplified Account Opening (eForms Manager) - updated by AOS is a electronic new business tool available to
Ameriprise advisors. It allows advisors access to all new business applications as well as service related forms. eForms Manager is used to simplify the process of obtaining and completing client forms, meet compliance requirements, reduce training time for new advisors and staff, and reduce the number of forms returned from the home office.

eCatalog - updated by Cenveo is an index of all applications (both new business and service related), sales literature,
brochures, etc. Use eCatalog to download or order forms and sales literature from supply. Search by entering item number or title in the search bar above, or by browsing through categories below. Order Premier printed copies, print directly from eCatalog. For questions about the use of eCatalog, call supply at 612-460-2336 or ecatalog.036@cenveo.com. For technical problems contact the Technology Help Desk **Advisors have access to both eForms Manager and eCatalog via AdvisorCompass

DocSource amerprise.com

PDF only:
FSC Direct/ESO Cenveo - Printer service for Premier Portfolio Services only

For internal use only. Not for inspection by, distribution or quotation to the general public.

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eForms Manager checklists- (CL = checklist)

seldom require change

Brokerage: Qualified and Non - qualified

Ameriprise ONE Financial Account

External products group EPG:

Fund of Hedge Funds
REITs

Managed products / Premier Portfolio Services:

Qualified and Non - qualified SPS Advantage SMA Active Portfolio
For internal use only. Not for inspection by, distribution or quotation to the general public.

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Premier forms printing Advisors may order paper copies via eCatalog
Due to the number of pages in the Premier Portfolio Services application, Client Agreement and Disclosure Brochure (ADV), a decision was made to make available to advisors, a print supply of the most frequently used forms. Advisors can order a supply of printed forms, free of charge, by accessing eCatalog and placing an order. Turn around time is typically 24 hours. AOS does not manage the printing of forms but they will send a PDF to our print vendor: Cenveo. Production Operations For additional Info. on this group review Production Operations Overview powerpoint presentation
Kevin Bendixons Director, do not contact unless escalation is necessary. His team will coordinate printing of forms including the quantities needed.

Kevin's Team includes: Melissa Dols and Backup: David Hatch If we have a update to a form and need a supply update contact Melissa.

For internal use only. Not for inspection by, distribution or quotation to the general public.

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Advisor Online Services (AOS) formally Centralized

forms management (CFM)

The team that owns eForms Manager, eCatalog, and Ameriprise.com content publishing is the Advisor Online Services (AOS) team located in the Customer Service Center (CSC). All Ameriprise forms, applications, etc. across the organization; Brokerage, Premier Portfolio Services, EPG, Annuities, Insurance, etc. are managed by this team. Contacts: Anjali P Srivastava Manager, Service Delivery Advisor Online Services ext.15545

Corryn K Wilson - Design Analyst, Advisor Online Servicing ext.19325 John X Sopkowiak Graphics Coordinator, Advisor Online Servicing ext.83043 Archana U Bhandary - Intake Coordinator, Advisor Online Servicing ext.86393

For internal use only. Not for inspection by, distribution or quotation to the general public.

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Happy Forms Management!

For internal use only. Not for inspection by, distribution or quotation to the general public.

Submissions to ELROY and Compass content request 2007

For internal use only. Not for inspection by, distribution or quotation to the general public.

Submissions to ELROY and Compass

Submissions to ELROY and Compass content request may come from several different sources. Forms do not need be submitted thru ELROY. Any change to the content of the AdvisorCompass pages for Brokerage Debit Communications' will need to be submitted thru ELROY.

You may receive a request from a co - worker that does or does not have access to the ELROY or the Compass content request databases. Feel free to request additional information from these individuals to complete their request. Note: Please makes sure to in the comments area or in the content owner fields if applicable, indicate who you are submitting the request for. This will insure that the proper individual is contacted if inquires arise about the submission.
You may be asked to provide submitted information if the content owner or individual leaves the company so back up your ELROY and Compass content request submissions by saving the files to your hard drive

For internal use only. Not for inspection by, distribution or quotation to the general public.

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Brokerage Sales Literature Orders (AEBS Service Request)

2008

For internal use only. Not for inspection by, distribution or quotation to the general public.

AEBS service request- refer to cheat sheet

Requests that appear on the AEBS Service Request database - both the Pending requests and the Resent requests are processed daily. Orders are run through the macro on the BOS Access database.

Open the database and click on the icon just to the left of the spade icon. It looks like an open book and if you place the cursor over it, it will read Run macro macNotesDataLoad. This will take a few minutes to run.

A new screen will pop up displaying all of the orders- this is the form on which you will make any necessary edits. Review each order to make sure that it is correct.
The first and last name each should be in a separate field. The address, city, state, and zip, will all need to be in their designated fields. Checkboxes: Do Not Complete and Exclude. Check the Do Not Complete checkbox to not complete the order in the AEBS Service Requests database within Lotus Notes. You would use this if there were manual items that needed to be fulfilled (the Brokerage Guide), if the order needs to be rejected, or if you want to look at the actual order within Lotus Notes. Check the Exclude checkbox to not include that specific line in the order to be sent to Cenveo. For example, if someone ordered a brokerage kit and a brokerage application, the application is not necessary. Check Exclude on the brokerage application line and this item will not be ordered. You should never exclude the first line of an order while keeping other lines of the same order. This is because the address and name are included only on the first line. Change the item number in the first line and exclude a latter line.

For internal use only. Not for inspection by, distribution or quotation to the general public.

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AEBS Service Request

Look at the item/s chosen. There are a number of edits that may be necessary in this area: Note: if there are multiple items, only the first line will contain the client information and the partner/source code information. The information on that line will apply to each additional line for that order. Make sure that the Partner and Charge Unit fields are populated and are correct. If the item chosen is a certificate or a prospectus under the AXF partner code, make sure that the correct envelope is also included with the order (1222 or 100025). If not, you will need to manually add this item.see Cheat Sheets for more detail. Click on the Add Item button. When you do this, the form will go all the way back to the top. So you will have to scroll back down to find the order you are working on. Add the correct envelope (1222 or 100025) on the new line. If the item chosen is a prospectus under the DIG partner code, make sure that a BRE (400012) is NOT included. If it is, check the Exclude checkbox on that line. Also, make sure that a cover letter (FOCL) is included. If not, you will need to manually add this item to the order.see Cheat Sheets for more detail Click on the Add Item button. When you do this, the form will go all the way back to the top. So you will have to scroll back down to find the order you are working on. Add the FOCL on the new line. If the item chosen is a form, make sure that a cover letter (FOCL) and a BRE (400012) are also included. If not, you will need to manually add these two items to the order.see Cheat Sheets for more detail. Click on the Add Item button. When you do this, the form will go all the way back to the top. So you will have to scroll back down to find the order you are working on. Add the FOCL on the new line. Then click on the Add Item button again and add the 400012 on this new line. Again, if for any reason you need to look at an order in the AEBS Service Requests database within Lotus Notes, click on the Do Not Complete checkbox on the order. The order will stay in the Pending (or Resent) folder instead of being completed automatically.

For internal use only. Not for inspection by, distribution or quotation to the general public.

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AEBS Service Request

Finally, you will need to look at the Notes box: If the note indicates that the client wants an additional quantity of one or more of the items, go to the item/s and change the quantity. If there are additional items listed in the notes box, you will just have to add lines to the order as you do with form orders. (see above)If the item is not one on the list, you will need to go back to the Brokerage Service Request db and reject the order (see below for details) If you have questions on any of the orders, go to the AEBS database and look at the original request. There may be times that you cant determine the correct information by just looking at the form created by the macro. Once you have finished reviewing all of the orders, click Done. NOTE: If an Error message pops up (a box that asks you to End the process or Debug it), do one of the following: If you click Debug: This will bring you to the VBA code. Place the mouse over the code to find out what record the error occurred. Press F11 to bring up tables. Open table: NotesDataLoaded. Find the record that created the error (near the bottom of the table) and fix the problem. Move to the row above or below to save your changes. Press F5 to continue the code.
For internal use only. Not for inspection by, distribution or quotation to the general public.

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AEBS Service Request

If you click End: This will negate all of the work the macro did after the place where the error occurred. You will then have to go to the BOS database and search for orders completed that day. The orders on that list are ready to be sent. For those, you can go to the AEBS list and complete the requests. You can then try to run the macro again - start at beginning of process above with the remaining orders. You may get the error message again, though. If the error re-occurs, those orders that did not get processed will have to be completed manually if you want to include them in the days orders. (see Brokerage Service Requests- Manual Process.) Then, when you process the next days orders, make sure that the orders from day one are not still on the macro report- if they are, exclude them all by checking the Exclude box on each order. A report of what was added to the database will be displayed. Before you send the file to Cenveo, you can edit any of the orders manually by going to the BOS database and clicking on the Edit Order icon (paper with pencil). Click on Find. Search by the clients name if you know it, or you can search by date- enter the current days date in the From: and the To: boxes. At the end of the day, create the order file to Cenveo. Click on File, Create SAP Order File. This can only be done once a day. Then, send via e-mail to the Cenveo contact for your area - currently Silverio Rios (copying Michelle Wild).Note: this should happen via FTP & a request needs to be put into Technology to complete.there was a freeze due to the Day 700 work at the time this document was created.
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For internal use only. Not for inspection by, distribution or quotation to the general public.

 Requests that need to be Rejected If on an order, there is in the Notes section a request for an item that is not on the fulfillment list, reject the order and note that the form requested is not available (many forms are electronic only). If there are other items, fill that part of the order as normal. Go to the Brokerage Service Request db - Orders by Status Pending Open the order with the issue by searching for the name. You Click on the Reject button and enter the reason in the box that appears. Close & save your changes this will send a notice to the service rep who made the request. Each day go to the AEBS database and look to see if there are any orders left in the Pending or Resent folder. If no item is chosen on the form, it will not be included in the macro process above.

For internal use only. Not for inspection by, distribution or quotation to the general public.

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