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User Manual of Comprehensive Documentation

1. Accounk Quantity Price Mkt Value DamdL oss 10000 00 56955634 100 95 90 9590 00 590 00 Owner WwO5 1000 1 50 1500 00 0 00 100 13 00 1300 00 ggg Gate source Records 3 21 800 00 22 390 00 save 590 00 CI 28200 00 fo Tee Des 75885 00 Lon Expanded Transaction and Cash Ledgers for Portfolio Management Address Notes Interests User Fields Book Page Agenda Figure 111 Book Page Ledger Buttons Do Trade to add a new position to the book page to edit or enter the closing information to remove and to delete a position Sort Order to display description quantity price market value gain loss in ascending or descending order View Security Transactions or View Cash Transactions to observe the specific ledgers for these investments WP Robert Adams AT amp T Corp IB tl Open Cost Mkt Value Mkt GainLoss Cash Buying Power Gu Haldings Ledger Account aJa Internet Capital Grol dl DUU UU 22 390 00 590 00 Bort Order i Price 2A 00 00 FRB OO Market Value New Valuations Monitors Address Notes Interests organize holdings views Bee E RIES DM rice Mkt Value Bain Loss esn 500 70 00 10000 00 15405634 100 95 90 9590 00 Owner w05 1000 1 50 1500 00 0 00 100 13 00 1300 00 o pop Data Source Direction Ce Ascending Sort By Ce Description C Quantity C Descending Gain Loss New wa
2. Daily Activities Wed Feb 5 1997 at 11 05 AM Die EX 11 054M Douglas Allen CALL Edit 2 Sweep TOU 2 Douglas Allen CALL 12 00PM Accomplish Sa a Show Type 1 00PM ment all 2 00PM EI HONEY MHE 300P TI History ee oom Calendar Format Activities for Ge Daily C Weekly C Monthy C SC fi 5 Figure 35 Activities Calendar shown in Daily View format Weekly View Click on the Weekly button to see your activities for the current week Monday through Friday This is an expanded daily view showing 5 days at a time If several activities are scheduled for the same time slot you will see only one activity However Broker s Ally shows the number of 36 activities for the time slot in parentheses You can view activities that do not have an associated time in the No Time field To examine a different day select the Calendar Icon located at the bottom of the Activity Calendar window double click on a different day and the selected day will be presented You can quickly print your Activities Calendar by pressing the Printer Icon located at the bottom of the Activities Calendar window o Weekly Activities Wed Feb 5 1997 at 11 00 AM ME EX T j i Add Ho Time Edit Douglas Allen ACTION Print see HEED V Pooks Delete ccomplieh Show Type ACTION APPT CALL MEETING WOKE NIIE T History E 00m Calendar Format Activities for Daly Weekly Monthly C Summary
3. Thursday November 2002 Add Sun Mon Tue Wed Thu Fri Sat Reschedule 2 Sweep 3 4 Fi 4 Pelete 1 11 le 16 Accamnplien 17 18 19 E Show Type ACTION ed E Zb 30 CALL T History Hovember ZU a bs Sa Calendar Format Activites for C Daly C Weekly fe Monthly Ne Summary ial Scr Figure 125 Activities Calendar monthly view Summary An overall summary listing of activities is shown under this view Click on the Summary button to see all of your activities listed in chronological order If you highlight an activity and go to one of the other views you will see the same activity in a different context If you double click on an activity you will display that contact s record To move to a specific day select the Calendar Icon located at the bottom of the Activity Calendar window double click on a different day and the selected day will be presented You can quickly print your Activities Calendar by pressing the Printer Icon located at the bottom of the Activities Calendar window As an added convenience you can also get a summary of historical information by clicking the History check box on the screen fee Activities Summary Tue Jan 8 2002 et ACTION Jason Ulm Evaluation of Bonds dd A 18 2002 CALL Bill Kinney Status Meeting __ add 1 9 2002 ACTION Mary Evans Portfolio Rewew Deschechule 1710 2002 ACTION Steve Christiansen General Meeting Sweep Delete Accomplish Show Type AC
4. is the string wildcard For example to find all records containing the Flags IRA IRB IRC etc but not the Flags containing IRAQ IRAN IRATE etc use the search expression IR_ Broker s Ally will look for all 3 character Flags beginning with IR If you use the search expression IR you will find all Flags of which start with IR Unlike the Interests fields that must be pre defined to be meaningful Flags are dynamic and can be created on the fly However to be useful you must be consistent when entering them into your 109 database Therefore if you enter IBM for one client you shouldn t enter 1 B M for another The system cannot see through the haze of periods to associate these individuals as having a common interest in IBM Use the remembered response capability of Flags to ensure uniformity Call Interval The call interval is used to suggest a date for a new call activity after completing a call using the dialer For example assume you have entered 30 into the Call Interval field After you use the dialing feature in Broker s Ally and press the Contacted button Broker s Ally will open the scheduler for a new activity with a suggested date of 30 days from now You must use the Dialer and Contacted button to enable the Call Interval feature Of course you can override the suggested date NickName There is a NickName merge field in the Letter Writer and Quick Letter that uses whatever you type into this
5. Figure 153 Security Type dialog Edit Prices Clicking on the Edit Prices button brings up another dialog box which displays all the prices for the selected security sorted by date from latest to earliest The ability to add edit and delete a price is provided by three buttons appropriately labeled 159 Security Date Delete Close Figure 154 Prices dialog Clicking on the Add or Edit buttons brings up another simple dialog box where the date and price can be entered When doing an edit the date field is read only Security International Business Machines Date EHEER Price Figure 155 Security Pricing dialog 9 5 REPORTS Below you will find a list of the advanced portfolio reports More reports will be added If you wish custom reports to be created please contact Scherrer Resources Inc and we will assist you in creating additional reports that meet your specific needs Report Names Performance Asset Allocation Performance vs Index Portfolio Diversification What if Scenarios Held Not Held Realized Gains and Losses Closed Positions and Lot Number Unrealized Gains and Losses Closed Positions by Symbol 160 Unrealized Capital Gains with Annualized Income Cash Balances Income and Dividends Cash Additions and Withdrawals Income and Dividends Forecasts Commissions Monthly Income Schedule Maturity Warning Transactions Reports Turnover Report All of these reports com
6. ca KT E Document Info lea Trec ne EEN E Sl m alaaa Search Replace Page Insert Paginate Color Bold Merge Italic Spell Check Superscript Header Footer Subscript Exit NNNNNNNN DD YYYY FULL NAME ADDRESS 1 ADDRESS2 CITY STATE ZIP Dear FIRSTNAME This letter is to confirm your appointment here on We will use this time to review your current portfolio and to discuss the coming year s market strategies I look forward to meeting with you and should you have any questions or if for any reason there is a change of plans please call me 4 AN Ready Line 1 Column 1 Douglas Allen EJ i E CONTACTS EJE E3 Daily Histor SES Calls 0 Contacts 0 Wed Mar 05 1997 09 23AM MGR Figure 159 Letter Writer Menu Save You can save the current letter by selecting Save from the Letter Writer menu If the letter is a new document Broker s Ally will prompt you to enter a name or use the default name LetterX where X is an assigned sequence number If you do not specify an extension BAL is assumed If you enter an existing file name the system will ask you if you wish to over write the existing file You can select another Disk drive directory or file format by clicking on your choice in the appropriate scroll box If you try to close a letter window and have not saved the changes to the letter the Save Letter dialog is displayed automatically If you have changed an
7. Activity Date Less than or equal to lt 4 1 2015 Notice that the first clause is connected to the second clause with AND meaning that both clauses must be true in order to select a contact Please Note A Short Cut for creating calls list Select Activities Activity Date from the Field combo box Select Is Past Date or Today lt Today from the Operator combo box Press the Refresh button every day The operator will automatically take today s date from your computer clock and place it into the Date criteria Network Users Fi If you are running Broker s Ally on a network you will want to create a Call list containing only your aie calls You must therefore select activities assigned to you alone Once again click the Add button adjacent to the Search Properties list box to bring up the Search Logic window 10 Select AND in the Continue Previous Statement With group 11 Select Activities Activity For User from the Field combo box 12 Select Equal to from the Operator combo box 132 13 Enter your User ID assume Xyz for this example in the Value field 14 and click OK On returning to Edit List dialog the Search Properties Criteria displays Activities Type Equal to CALL AND Activities Activity Date Less than or equal to lt 4 1 2015 AND Activities Activity For User Equal to XYZ Sort Properties Click the Add button adjacent to the Sort Properties list box to bring up t
8. Close sil 4 Address Hotes Interests User Fields Book Page Agenda Close Zoom Figure 92 Contact Record with Contact List If you check Allow Account changes an existing Account number can be changed If this is disabled unchecked you cannot edit account numbers in the contact records Even when disabled an Account number can be inserted if no account number exists in the record You must have the Login right to change this setting and it affects all users Envelopes Labels Preferences When printing envelops or mailing labels you can control the content of the address information Check Include Second Name to include the 2nd Name field on the contact record Check Include Company to include the Company name on the contact record Check Include Comma after City to insert a comma after the City and before the State on the last address line Directory Preferences Specify the Data directory where you normally create new data sources and the Letters directory where you normally store letters for the Letter Writer Click on Data or Letters to select a directory Login Preferences If you have installed single user Broker s Ally you probably do not wish to bother logging in as MGR every time you begin a session with Broker s Ally By default the Automatic login as MGR option is enabled Network administrators will want to turn off this option and not give other users the Login right to turn it on The othe
9. D E Figure 36 Activities Calendar shown in Weekly View format Monthly View Click on the Monthly button to see the number of activities scheduled for each day of the current month The red number in the lower right hand corner of the date shows the number of activities scheduled for that day Each day is a button and the current day is active button depressed Space limitations prevent showing more than the number of events for each day If you double click on a different day on the Monthly view you will go back to the Daily view to see the actual activities for the selected day Use the controls below the calendar to move to a different month or year Also to examine a different day select the Calendar Icon located at the bottom of the Activity Calendar window double click on a different day and the selected day will be presented You can quickly print your Activities Calendar by pressing the Printer Icon located at the bottom of the Activities Calendar window o Monthly Activities Thu Feb 6 1997 Thursday February 6 1997 Wed Thu La MA dd Edit Sweep Delete ccomplieh Show Type ACTION WOKE DHE T History Today February 1997 Calendar Format Activities for C Daily C Weekly Ce Monthly C Summary Hd HGR Close 00m Zoo Figure 37 Activities Calendar shown in Monthly View format Summary View An overall summary listing of Activities is shown under this view Click on the Summ
10. Planning Foreign IT Treasum Options IRA T ult T Blue Chip Label 22 Label23 M Label 24 M Label 25 Label 26 Label2 T Label 28 Call Interval fi Records 5 Deal Ser De TaulD Gen Save Nickname Mar 062 510 5999 Close Source Type a I Address Hotes Interests User Fields Book Page Agenda Figure 6 Flags and Interests Page Integrated word processor The Letter Writer is a full featured word processor held within Broker s Ally and it incorporates both form and custom letters as well as a spelling checker Having a word processor within Broker s Ally negates the need for having alternative word processing software on your PC With this powerful letter writer you can mark individual contact records to receive a particular letter and print these letters at the end of the day You can identify a group of contacts and print a batch of letters using the mail merge capability Reporting A very powerful feature of Broker s Ally is its ability to search through the entire database to identify a group of records based on specific criteria The search criteria can be any field and is frequently zip code date address user field data flags interests and so on For example you could select all your customers who are in the state of PA with a particular Zip code or within a range of Zip codes all of whom have certain investment interests assuming that you have recorded such data wit
11. This menu item is only active when you are using the letter writer Page Setup allows you to change the default Tab positions and Margins The Height and Width are determined by the printer you have selected You cannot change these settings 5 6 PRINT Use the Print option on the File menu to send the current letter displayed in an active Letter Writer window to your Printer When you select Print from the File menu you will be presented with a dialog with print options You can select specific pages and number of copies to be printed or you can select a different printer On the other hand to print a report you will use the Print button in the Reports dialog 5 7 PRINT PREVIEW While using the Letter Writer the Print Preview option opens a special window and displays the current letter as it will appear in the final printed form It has buttons that allow you to page forward or backward and print the current letter This is a handy feature that allows you to see things before you print them in order to save you from wasting paper and time The Reports function has a separate Print Preview facility 5 8 PRINT SETUP The Print Setup option displays the standard Windows Printer Setup dialog This allows you to specify the Printer to use with the Letter Writer In Windows you must highlight your desired printer click on the File Menu and select Properties for the printer options The Setup button brings up a secondary printer setup dialog
12. An orphaned record is one whose parent contact no longer exists because you have deleted a data source Maintenance Files T ables Data Source ACTIY_ DBF ALERT DEF Demo Database BOOK DEBF Export Database BRORKER DBF Lead Database FHAIN DEF Hain Database GLIST_DBF Seminar Attendees GHASTER DBF GSTATE DBF HIST DBF IHN DE MAIN DBF NMAIN DBF REMRES_DBF locked SECUR DBF Rebuild All TALLYS DBF USRFLD DBF Cancel Figure 80 Maintenance Options 74 No other users may use broker e Ally during the repair process since it requires exclusive use of the files If a file is in use by another user the Maintenance option will place locked next to the file name Select a Broker s Ally data source and then choose one or more files belonging to the data source to rebuild A file in use by you or other users will be marked as locked indicating that you cannot re index it Close all open windows to unlock the files Broker s Ally cannot lock the files to prevent other users from intruding on the maintenance process Thus it is imperative that no one be using the files while Maintenance is in progress You may click on Rebuild All to re index all unlocked files for a selected data source lf Direct File Access is enabled every time you create a new list such as a Calls List the list file GLIST DBF is packed and re indexed Warning The index repair feature of Broker s Ally does not eliminate the need f
13. Broker s Aly Broker s Ally Realy Aly Sales Ally 4 0 Vi Figure 57 Program Icons Archimedes Ally Products MS Publisher Network Figure 58 Group Icons The icons are designed to show a graphical image of the program it represents Most of the icons include a written caption underneath to help you identify its function If the caption is highlighted the item is said to be Selected You select the icons by clicking on them with the mouse pointer You can also select an icon with a group by pressing the Tab or Shift Tabo keys You can shift to another group by pressing Cl Tab Starting a program You can start a program or maximize a group by selecting its icon and pressing Enter or by double clicking on the icon 4 4 MENU All general Windows commands and options are listed on the Main Menu Windows is said to be menu driven because you can select its options from menus rather than typing the commands with a keyboard File Edit Contact View Portal New Data Source Database Operations d ODBC Settings TAPI Settings Page Seti Print tee He Preview Print Setup Figure 59 Windows Drop Down Menu Example 55 When you click on one of the main menu options e g File you will see a drop down list of additional options associated with the selected menu headings To select the feature you want click the mouse button when the pointer is on the option name A shortcut key is also available for some of t
14. You can add an unlimited number of notes aner You can add New notes by pressing the New button below Data Source E spires Include m Activity Function Records 5 e Send Email Seve Close New Quick Lt Mark Review Date Delete Spell af 2 gt Category Noe sl Access lt None gt Address Notes Interests User Fields Book Page Agenda Figure 105 Notes page for capturing conversations and information You can accumulate an unlimited number of notes for each contact Each note is automatically stamped with the date and time it was created and it is labeled with your User ID as originator of the note To segregate one note from all the rest and to enable you to quickly print a fulfillment mailing label you can mark a note for printing using either the Marked Notes report or the Marked Notes labels report When the Notes page is opened you will see the most recent note if one exists otherwise the notepad is ready to accept a new note Use the scroll bar on the right to browse among the notes To remove all changes to a note since you last saved it select Undo on the Edit menu If you have marked a note or changed its date Broker s Ally also resets these changes A note is automatically saved when you leave the Notes page or browse to another note You do vi not need to click the Save button we Buttons New 103 Click the Add button to clear the note display area a
15. monthly quarterly and annually changing data types The FT IDC Financial Times Interactive Data Corporation data feed connectivity option is provided within Broker s Ally under the File Database Operations Import Menu You must contact FT IDC directly for this data feed subscription There will be a fee charged by FT IDC to provide the data you require with the frequency you demand Other vendors have created other systems and we can accommodate their data formats under specific task order request Categories of data provided by FT IDC are equities including mutual funds ADR evaluations Options corporate and government bonds FNMA GNMA and FHLMC pass through pools municipal bonds commodity and futures contracts collateralized mortgage obligations CMO and Asset backed securities ABS m FI Interactive Data FINANCIAL TIMES www FTID com http Awww interactivedata rts com These data feeds are provided to you for the purpose of e Portfolio Reporting Create current value reports for currently held positions and investments e Performance Reporting Ability to create performance reports based on dates e Index Performance Reporting Creating reports depicting portfolio growth with reference to indices such as S amp P 500 Dow Jones Nasdaq Russell 2000 etc Load alternative indices to measure performance e Track Tax Lots Added database extensions to store all historic positions transactions and tax lots e Bu
16. or double click on a template to merge the template with the contact information and insert a Quick Letter into the notepad Click on New to create a new template or click on Edit to change a selected template Templates normally have a BAQ extension and are stored in the letters directory which is specified in User Preferences Quick Letter Setup 105 In the Quick Letter dialog click on New or Edit to go to Quick Letter Setup The large window on the left is a scrollable notepad where you enter the text and merge codes for the Quick Letter template You can compose a simple generic letter Utilize merge codes wherever you want to insert specific contact information such as contact name address current date and your name Quick Letter Template Setup EJ Template Merge Codes CN this is the set up for Company Name merge beid Aa SE Ge Zeie S OP Alternate Phone Ae Altermate Extension ICH Company Mame OT Current Date FM Formal Name FP Fax Phone HP Home Phone LN Long Name Help Save Save z Cancel Figure 107 Quick Letter setup dialog A merge code can be entered manually or selected from the list box on the right Position the cursor in the template double click on a merge code in the list box and the merge code will be dropped into the template at the insertion point You will select a template in the Quick Letter dialog to create a Quick Letter for
17. 166 Search and Replace When you have entered the Search for text and the Replace with text the Replace and Replace All buttons will be activated If you select Replace the next occurrence of the Search text will be highlighted and a new dialog will appear with four buttons Find Next Replace Replace All and Cancel Click on Find Next to skip to the next occurrence of the search text click on Replace to make this replacement click on Replace All to replace all occurrences or click on Cancel to abort Search and Replace If you select Replace All all occurrences of the Search text will be replaced according to the setting of the search controls from beginning or current cursor position forward or backward etc Insert Use the Insert dialog to insert special data such as dates merge fields page breaks other documents pictures or even tables into the current document It consists of several option buttons to select the type of data to be inserted and a list box that fills with the choices associated with the selected option When you select an item from the list box and click on Insert the item is inserted into the letter at the current insertion point The options are 168 Letterwriter Insert E4 Ce Contact C Date C Page C User C Document COMMENT IC Picture COMPANY COUNTRY C Table FAXPHONE FIRS TNAME FULL NAME HOMEPHONE INITIAL CARRIERRTE Figure 167 Insert Dialog Contact When you sele
18. Ally Interest Labels KX Local Local Local Local Det Det Det Det ess Municipal wn Itzeg Clown Treasury M Blue Chip P Jlaber25 M Bonds Managed r Options Gase Ca Cancel Pias WER SEH SES God Gd Help Den w seg SSC SU SETEN WIESEN Figure 96 Interests Dialog 92 In network installations each Interest label applies to all users unless you check the Local Definition box A local definition is used only on your PC The system administrator can restrict access to some or all Interest labels in the setup dialog by selectively assigning Interest setup rights User Fields Setup The User Fields button brings up the User Fields setup dialog This dialog allows you to specify the name and type of each of the 3 pages of sixteen for a total of 48 user definable fields The name will appear on the User Fields page of the Contact view The type will be used to validate any data entered by insuring that it conforms to the specified data type i e date fields must contain valid dates and numeric fields must contain only numbers Furthermore each User Field has a Remembered Response check box If you choose to save the history of responses for a field check the Remem Resp check box Remembered Responses allow you to choose a previous entry rather than manually enter one for a given field These settings apply to all Broker s Ally data sources and all users of Broker s Ally User Field Defi
19. Ally even if Broker s Ally is minimized and you are working with another Windows application The Alert system is Broker s Ally s alarm clock and it will notify you when a scheduled activity comes due When the alarm goes off the Alert dialog pops up and displays the current event along with any other events that may require your attention You can do one of the following e Click the Zoom button to go directly to the appropriate contact window in Broker s Ally e Click the Snooze button to delay 10 minutes before issuing the same alarm again You can change the Snooze delay by clicking on the up down arrows next to the Snooze button e Click the Edit button to change the scheduled activity e Click the Delete button to remove the alarm event This does not erase the scheduled activity only the alarm associated with this activity 43 e Click the Close button to leave the dialog and continue using Broker s Ally Activity Alarms for MGA 37471997 11 08 AH The following activity alarms have come due 37471997 10 30 AM Kenneth Armstrong 47471997 10 15 AH Shiley Bamber 37471997 10 05 AM Douglas Allen 37471997 10 03 4M Gregory Walters Description Yearly Review Tax review Type MEETING Snooze 10 S Edit Delete Close Figure 44 Alert Alarm Dialog When you click the Zoom button or double click on a contacts name the Alert system will take you to the contact record for this activity The Zoom button will not be acti
20. Armstrong Shirley Bamberger Kenneth Armstrong Douglas Allen Follow up to Nam A Just keeing in tour Follow up to bailir Call to follow up o1 Follow up to Mailin Call to check in Call to check in Call to check in Discuss Portfolio Call to check in Call to check in Call to check in Follow up to Mad Follow up to Mailin 6 Month Review Y kd History E Fa Activities for Calendar Format ZU Figure 47 History Summary Showing Accomplished Activities A more detailed history report would be the Weekly History Report This report will show you the number of activities you scheduled and the number of activities you accomplished for each Activity Type Call Action Meeting etc The graphical report will process the activity information on the previous week Sunday through Saturday This report includes Goals that you setup in User Preferences User Info section Below is an example of the Weekly History report for the Activities Type Call 46 CALL Number of Events Sun Mon Tue Wed Thu Fri Sat Total Goal Scheduled 10 27 29 15 25 42 0 148 100 Accomplished 15 39 41 24 33 45 0 197 100 Figure 48 Weekly History Report 3 8 SEND YOUR CONTACTS MARKETING LETTERS The Broker s Ally word processor also known as the Letter Writer is designed to perform a multitude of writing tasks You can compose new letters amend old ones and send individual or group mailings and merge contact record information to produce personalized
21. Capital Gro 1000 1 50 1500 00 0 00 Mortel Metworks Cor 100 13 00 1300 00 0 00 Data Source Records 3 Open Cost 21 800 00 Mkt Value 22 290 00 Save Mkt Gain Loss S90 00 Cash 28200 00 Do Led Buying Power 75685 UU Lon Expanded Transaction and Cash Ledgers for Portfolio Management Address Notes Interests User Fields Book Page Agenda Edit Security Mame ICGE JIntemet Capital Group Type Stock m m Annual Income jo Maturity Date k Pricing Service Interactive Data sl Add Delete Corporate Actions Edit Prices Close Global Change Pricing Service From Interactive Data sl Tol Interactive Data sl UK Figure 25 CUSIP and Descriptor Fields Added e Sorting Flexibility Created multiple screen display sorting methods including sorting by description quantity price market value and gain or loss in either ascending or descending numeric or alphabetic order for ease of reading and viewing 28 I Robert Adams ete ee EE AT amp T Corp SIE Account 56985634 Gu Holdings Ledger DM FIICE Mkt Value Damd oss s00 20 00 It 100 45 90 9590 00 590 00 Owner wos Internet Capital Gro 1000 1 50 1500 00 0 00 l 100 13 00 1300 00 o oo Date Source Direction Ce Ascending Sort By Ce Description Open Cost 21 800 00 C Quantity C Descending Mkt Value 22 390 00 Mkt Gain Loss 5
22. Ctrl V to copy text to and from the Scratch Pad This means that you can use the Scratch Pad as a repository of standard data entries that you can easily paste into any of the data screens For example you might want to enter a list of all your broker dealers in the Scratch Pad so that you can easily look them up or copy one of them into an individual contacts record or note 7 SCRMGR BAP Bis ZEZE B Z u U I 2 J b j l j E E k Fedex numbers This is sample text in the scratch pad The scratch pad uses all features of the Broker s Ally Letter Writer Figure 179 Scratch Pad 11 6 SALES SCRIPTS Sales Scripts are text files that you can customize to provide standard scripts for sales calls or any other scripted conversation You can build as many such scripts as desired and display one or more at any time This feature allows you to create whole libraries of scripts for specific campaigns or telemarketing efforts The script files are normally stored in the Letters Directory with the extension BAS Broker s Ally Scripts You can even develop and distribute standard scripts to multiple locations for coordinated marketing efforts To create a sales script choose Sales Scripts from the Tools Menu select New to create a new sales script 181 i INTRO BAS Miel x INTROD DUCTION Hello ny name is from corporation I believe you may be someone who might profit from our investment advice and I d like to
23. Daily View Tomat 36 Figure 36 Activities Calendar shown in Weekly View Tomat 37 Figure 37 Activities Calendar shown in Monthly View Tomat 38 Figure 38 Activates Calendar shown in Summary View Tomat 38 Figure Ee dialog WER 39 FIGUIE4O LIST TEMPIALeS EE 40 P iQue AER e 41 Fe US EE AUIS LVS De e EE 43 Blelfle E We 43 Figure 44 Alert Alarm DIGI OG BE 44 Figure 45 Marked Note Report Printed on Mailing Labels ccccceeescccecsseesseceeeeeeeeeeeeeeeeeeeeees 44 Figure 46 Marked Note ZE eege dee deeg 45 Figure 47 History Summary Showing Accomplished Activities cccccccccceseeseeseeeeeeeeeeaaaeeeeeees 46 Figure 48 Weekly History REDOM EE 47 Figure 49 Pull Down Menu showing sales and account management Campagne 48 Figure o0 sample Calls Campaign LIS anannino ia Geeks theta eae teteeua Secaiaueuaea 49 Figure 51 List of people you have selected to call in your marketing Campaignm 49 Figure 62 ENEE ue E 50 Figure 53 Selecting maturing securities ccc ceeeeceeceeecceeeeeeesseeeeeeeeeeeesseeeeeeeseeaeseesseeeeeeeesseaseeeeeeees 50 Figure 54 Windows display nnnna0nnnnoneannnnnannnnnnnonnnnnrennnrrnnsrnnrrennnnnnrrenrnrnrenrntrennnnrtrennrnrerennnnreeenne 52 FOUE ogs Le TEE 54 Sie tee RE 54 Figure s7 FOOrANY e 55 Figure DC GOURD Nee E 55 Figure 59 Windows Drop Down Menu Exvample ENEE EN 55 Figure 60 Active Programs IN ue e UE 56 FOUC WE VI EE 57 Figure 62 User Prel
24. Docking Upload to pass additions and revisions back to the network data source when you come back into the office and connect to your network Broker s Ally will asks you Plugged into a docking station on start up after you have checked the Docking Station option and have downloaded a snapshot of your network data Your answer will determine the next course of action e Yes to use the Main data source on the network file server or e Noto use the local copy of the Main data source Docking Download The Docking Download transfers only the data in the Main data source that you have privileges to view You cannot download private Broker s Ally data sources located on the file server only the Main data source can be transferred using this Docking Download feature Please Note When undocked private data sources which reside on your PC will have only contact information and notes This is because postings activities histories etc are stored on the file server and are not downloaded Docking Upload The Docking Upload feature allows you to upload all of your changes back to the network file server Otherwise changes you make to the local copy of the Main data source will be lost when you next download from the server Docking Upload passes changes to Contacts Notes Postings Activities Histories Securities Remembered Responses Phone Tallies Alerts and new User Field information back to the main database located on the network
25. FS Partner Market News Commentary APPENDIX H TELEPHONE TRAINING SERVICES Productivity Improvement Personal computers can increase the productivity and organization of account representatives and their support staff However if users fail to adequately learn important software features they can be left in a position of weakness often resulting in a total rejection of the personal computer Telephone Training For You In order to help avoid a rejection of your computerization plan Scherrer Resources Inc has developed a Telephone Training Service whereby your advisors can receive software training at the comfort of their desk on their own telephone By making an appointment with a knowledgeable training representative you and your support staff can learn the proper use of Broker s Ally and how to run it on your hardware Objectives The objective is to raise your productivity by increasing your level of knowledge and facility with Broker s Ally software on your PC Telephone Training will help you coordinate the process of selling and supporting accounts with your computer By obtaining Telephone Training Services you will be more proficient and comfortable with the technology Consequently you can achieve greater productivity and better customer support Through a discussion with your Telephone Training Service representative you can set up a one hour or more appointment to be trained on the software Then you can spend
26. Figure 76 Global Assign Delete Lists 1 Use Select by Owner to display the Lists belonging to a particular user or no user Select a user from the combo box pull down list or enter a User ID and click on a different edit control Select lt No Owner gt to view Lists belonging to nobody 2 The Lists belonging to the selected owner appear under Lists Click on the List you wish to re assign and click on the new owner under Owner The master table will be updated When you select a List BA displays the data source on which it is based Please Note You must have the User ID Edit right to reach this dialog The contents of the Select T by Owner and Owner controls may not include all valid users unless you have access to all users Global Assign Delete for Activities and Histories Use the Activities or Histories button to assign Activities or Histories belonging to one user to another user or you can delete them for a specified user The following explanation for Activities applies equally to Histories To assign Activities or Histories 1 Select the Assign or Histories button 2 Select the user who currently owns the Activities or Histories in the from User list box 3 Select the user to whom you wish to assign the Activities or Histories in the To User list box 4 To move all types of Activities or Histories make no selection in the Activity Types list box Otherwise select one or more activity types 5 To move all Activities
27. Global Changes for Plan Sales Planner The Sales Planner is used to create sales and marketing campaigns for individual contacts or a group of contacts You can create many different sales plans and have them readily available for future selling opportunities Applying a Sales Plan to a List Once you have created your Campaign List click on File Database Operations Global Change Choose a Broker s Ally data source in which your list exists Check List and choose the List Type Click on the Plan button in the Add section of the Global Change dialog Select the start date of your plan Highlight the plan you wish to Apply and press OK At the Global Changes Dialog press Start Broker s Ally will display your lists that have been created Highlight the list you would like the Sales Plan to be applied and press View List Press the Global Changes button and you plan will be applied to your selected group of contacts ort ee 71 Global Assign Delete for Lists Use the List button to assign a List to a new owner Thus you can assign a List without an owner to a particular user Furthermore you can re assign a List belonging to one user to a new owner For example you can assign a prospect list to another representative using this function Assign Delete Lists List Owner New Prospects for 2002 MGA GAOUPS cho Owner Prospects From Seminar MGA GAOUPS ry Data Source Main Database Show Lists for Delete Help
28. Help Figure 192 The Help Help Menu 13 2 SEARCH The Search option from the Help menu displays the Help window in Search mode You can enter any word or phrase and Help will find the appropriate topics in the help file If the Help system cannot find an exact match it will still present the closest match allowing you to scroll to the topic that matches your entry most closely 190 Help Topics Broker s Ally Help gt x Indes Find 1 Type the first few letters of the word you re looking for see 2 Click the indes entry you want and then click Display Action List Activities Activities Calendar Activity For d BAS upgrade Barcodes Eritit Cancel Figure 193 Help Search 13 3 USING HELP The Using Help menu option display detailed instruction for using the Help system 191 How to Use Help File Edit Bookmark Help not visible in the Help window To choose a Help topic Or press TAB to select the topic and then press ENTER Introduction Help Basics How To Annotate a Help Topic Choose a Jump Copy a Help Topic onto the Clipboard Define and Use Bookmarks Get Help from our Application keep Help on Top of Other Windows Move Around in Help pen Another Help File Frinta Help Topic ocroll Through a Help Topic search fora Help Topic View an Application and Help Together Commands and Buttons File Menu Commands Edit Menu Commands Bo
29. INVESTMENT Last Contact 6 8 1956 Dee MGR Bakes ata Source Address frio East Market Status Prospect o Box 1594 i Prospect Database Country Carrier Route T No Mail TEEN Work 407 555 1212 ent Home 407 666 9987 ere e Alt Phone 407 21 5 6666 et Fax 407 555 7876 Comments For Help press F1 Calls 0 Contacts 0 Tue Mar 18 1997 02 36PM MGR Figure 185 Arranged Icons 12 4 CLOSE ALL The Close All option on the Window menu will close all open Broker s Ally windows except the main window It is particularly useful for clearing the desk before beginning a new process 12 5 OPEN WINDOW LIST The Open Window List is a section of the Window menu that grows every time a new Broker s Ally window is opened Each open window is listed on the menu in the order that it was opened until the window is closed You can simultaneously move an open window to the front of a cascade display and activate it by clicking on its name in the Open Windows List This option is particularly useful for finding and displaying windows that have been lost behind other open windows 186 amp Broker s Ally Portfolio Version 6 51 for Gregory S Walters File Edit View Portfolio Mail Tools KIK Help ie BIN BF Betty Baker Ssa o Eix BP Diane Black Close Al Piei Ea Pe Is WP Mary Peters 1 Betty Baker Miei Ea CONTACTS 24 PII ES R Carol Wagner 2 CONTACTS 24 SSEllk CONTACTS SSES 3 Diane Black rol Wagner 4 CONTACTS
30. Phone Number field of the Dialer and you merely have to click on Dial to initiate the call For your convenience we have also placed buttons next to the Work Home and Alternate phone numbers on the contact screen so you can quickly pull up the Dialer fetch the number and begin dialing If you have not highlighted a phone number prior to calling the dialer Broker s Ally will prompt you to enter a number in the Dialer dialog Phone Dialer CONNECTED 00 00 28 Number EIFI EEE Feral Options Contacted Cancel Figure 174 Phone Dialer After a phone number has been entered into the Dialer dialog 1 Click on the Dial button to dial the phone number When using one of the contact window dialing procedures the number is dialed automatically 2 After the call is dialed you must pick up the telephone handset and click on the Talk button in the second dialog before beginning a conversation The second dialog disappears 175 3 If you make contact with the party click on Contacted This will update the number of contacts in the phone tallies on the status bar When using one of the contact window dialing procedures it will also update the Last Contact date in the contact record 4 Atthe conclusion of your phone call click on Hang Up This will hang up the phone and erase the dialog The Dialer keeps track of the number of calls you make as well as the number of successful contacts if you use the Contacted button The t
31. Show last contact C Activities Calendar Figure 62 User Preferences dialog Creating a New Data Source When you select New Data Source the Create New Data Source dialog appears The dialog box contains a listing of all previously defined data sources and the input fields for creating a new one The scroll box showing existing data sources is inactive and displayed for information purposes only The Scroll box at the top right allows you to select the data source to be used for the new Broker s Ally data source If you are a single user the only available option is Local Data However if you are a network user with more than one data source defined you should select the data source most appropriate for the new data source you are creating Your system administrator can provide guidance as to the correct data source selection 59 Create New Data Source Data Source Description Data Source Type dBase Data Intersoly sl File Hame Mam Database Test R Cancel Help Figure 63 New Data Source Dialog Enter a text description of the new Broker s Ally data source in the input box located at the top left The text description has no required format but should be short and descriptive The middle right box is used to enter a unique file name The file or table name you enter will be used unaltered as the name of the contact file To maintain order Broker s Ally will automatically append an extension appropria
32. This menu offers options for Copying Moving Deleting Dialing Marking Linking and Printing It is important to understand that the Contact menu options act on the currently displayed record and not the entire list of found or added records The specific options are as follows vi Broker s Ally Network Potto File Edit Contact Miew Portfolio A Q f Delete Mowe Dial Mark a Letter Associate Links Household Links Print d Contact s Agenda 115 Figure 116 Contact Menu Delete The Delete command removes the displayed record from the current data source It removes all contact information notes transactions activities history list entries and marked letters This isa permanent deletion and there is no way to undelete the contact Copy Use the Copy option to create a new record utilizing most of the data in the current record as a starting point Broker s Ally will insert the new record into the current database and copies over all visible information except for Open Date Last Contact date notes transactions scheduled activities history and marked letters The new record appears in a separate window and is linked to the current record because it is assumed they are associated with each other Move The Move command copies the current record to another data source and then deletes it from the current data source It copies all relevant data including notes transactions scheduled a
33. Wizard using Word Basic from Microsoft thus we utilize existing functionality of Word s mail merge system Due to some limitations of Word s mail merge system you should be aware of the following After creating a document with Broker s Ally Mail Merge Wizard do not select Mail Merge Helper or Edit Data Source from the tool bar Ignore messages such as Word could not parse your query options into a valid SQL string and The SQL string is too complex for Word to parse These are invalid messages Some unnecessary additional documents may be created when the Broker s Ally Mail Merge Wizard constructs your mail merge document Ignore them You must select the label form you wish to use before you run the Broker s Ally Mail Merge Wizard to create a labels document See Labels Tutorial in the Help file The Broker s Ally technical support staff is not trained to answer questions about Microsoft Word We can only answer questions relating directly to the Broker s Ally Mail Merge Wizard not general issues concerning Word s mail merge 198 APPENDIX B ODBC SUPPORTED DATABASES Broker s Ally ODBC Architecture For corporate large installations we offer an option to plug in other ODBC databases This is a custom installation and not directly possible with Broker s Ally Broker s Ally was engineered to operate within both a simple and or a robust environment scaling from single PC to enterprise installations One of the methods to accompl
34. a Call List campaign is one way to optimize your calling campaigns You want to spend the most time on those people that currently or potentially will bring you the most business The Call Lists option allows you to do this by creating a campaign list by some criteria and then sorting them based on one or more common criteria You can identify those records by such things as income net worth Activity Date Activity Type Status City Rating or other contact and activity fields In addition you can sort the list using any field or combination of fields such as Activity Date Last Name and Rating Now you have a readily accessible group of records that is a subset of your selected data source prioritized in such a way that you are calling your best clients and prospects first The Call Lists option allows you to create a series of selected lists of individual contacts based on one or more common features Broker s Ally doesn t actually extract the data into a separate database for each list Rather it maintains a set of identifiers that reference individual records in your data source This means that if you edit an individual s address the change will be reflected in every list in which the individual appears When you select Call Lists from Campaigns on the View menu the system displays the Call Lists dialog It contains two list boxes on the left called Available Lists and Data Sources You will have a different set of saved lists for each Broker
35. a mailing label for fulfilling mailing requests After typing a note you can mark it for printing To print out the label you select the Marked Notes feature from within this Mail Menu When you select Marked Notes from the Mail menu you can choose either Report or Labels The Marked Notes Report produces a report of all marked notes whereas the Marked Notes Labels command produces mailing labels for the marked notes You can also produce the report or labels from Reports under the View menu See Notes Page in Chapter 3 for instructions on marking a note You can use the Marked Notes Report to create a To Do list from your contact notes This feature is great for printing follow up instructions and its associated mailing label such as Send information on Sun Microsystems stock The Marked Notes Labels option produces a hybrid label and report The concept is that this feature will print both a mailing label for the marked contact record together with instructions about what to mail to that contact The instructions are formatted to fit on the label adjacent to the mailing label You read the instructions from the note about what to include in the mailing and then peel the mailing label and affix it to the envelope 173 10 4 GROUP LETTER This is the mail merge feature of Broker s Ally the process of merging contact information into a single letter which is the same for all the contacts The Group Letter option allows you to cre
36. back into Windows the ODBC drivers will be reinitialized Restart Broker s Ally Q When start up Broker s Ally get a message on the screen File locking not available What does this mean Broker s Ally needs a DOS program called Share to be running before you can work in the program Share should be loaded automatically in your autoexec bat file Exit out of windows and type SHARE EXE at the C prompt This will load the DOS share program For more information on SHARE EXE consult your DOS manual Q Do need to back up my data YES Your business depends on it The Rebuild Maintenance function can fix the majority of problems that can occur but it is possible that a database may become damaged beyond repair When maintenance is not possible your only recourse is to restore data files from backup diskettes Always maintain several sets of backup diskettes which are used in rotation backup diskettes are not immune to failure There are numerous backup software products available which are faster and more reliable than the BACKUP and RESTORE programs that accompany DOS Refer to the Backup in chapter 1 The file to back up is ALLYWIN MDB Q How do I set the date and time within Broker s Ally Broker s Ally gets the date and time from your computer There are two places where you can set your time and date First you can type DATE to set the date and TIME to set the time at the C prompt The other is to double click on your C
37. by investment managers in reporting their investment results Bank Administration Institute BAI The formula used to determine the internal rate of return IRR of a portfolio Also a professional association that among other things has created a set of calculation standards and guidelines for financial instruments Their standard calculation formula MVE F 1 R where E is cash flow and W is the proportion of the period that the cash flow was in or out of the portfolio Basis The cost and out of pocket expenses e g commission of acquiring an investment asset In Broker s Ally the total price depicted on the Post Open Position screen that includes fees commissions and interest When the investor sells the asset the basis is subtracted from the sales price to determine the short or long term capital gain or loss Basis Point One hundredth of a percentage point 0 01 of yield on a bond or note Broker s Ally often depicts yields in hundredths of percentage points 149 Bearer Bond A bond that does not have the owner s name registered on the books of the issuing company and that is payable to the holder Can be tracked in Broker s Ally as Held outside at on the Post Open Position screen Bond Basically an IOU or promissory note of a corporation In Broker s Ally bonds are tracked on the securities list by name or CUSIP number A bond is evidence of a debt on which the issuing company promises to p
38. contact window does not have focus the Contact field will show REMINDER and you cannot change this field Such an activity is not associated with any contact and is called a Reminder Activity Now that you have created several scheduled activities you can view your schedule through the Activities Calendar Sales Planner There is a Sales Planner incorporated into Broker s Ally The Sales Planner is used to create sales and marketing campaigns for individual contacts or a group of contacts meeting specific criteria such as Rating Hot You can create multiple Sales Campaigns and store them for future use The Sales Planner is available in the Broker s Ally Gold level and above We suggest you create your own 12 step sales plan as follows 4 annual portfolio reviews on a quarterly basis plus 8 telephone calls to check in with your best customers often View Sales Plans Plan Name Chent Review 6 Month Gathering Assets Top 100 High Growth Weekly Contact Prospecting 101 Prospecting 102 Seminar Planning Figure 33 Sales Planner Plans 35 3 3 WORKING WITH YOUR ACTIVITIES CALENDAR When you have entered activities into your database you can view your schedule through the Activities Calendar The Activities Calendar displays the activities you have scheduled or someone has assigned to you You can display your schedule in Daily Weekly Monthly or Summary views Select the corresponding radio button at the bot
39. each contact Click the Start button to make the changes Global Changes for changing Owners Select Change to put a new Owner in each contact record Select Replace to substitute a new Owner for a specified existing Owner The New value is inserted only when the Old value is found Select Delete to remove the Owner when the specified Old value is found 70 Global Changes for changing Flags Select Add to add a new Flag to each contact record Select Replace to substitute a new Flag for a specified existing Flag The New value is inserted only when the Old value is found Select Delete to remove the Flag you specify in the Old value edit box Global Changes for Interests Select Add to check an Interest in each contact record Highlight the appropriate Interest in the New Value list box Select Replace to substitute a new Interest for a specified existing Interest The New value is checked only when the Old value has been checked Select Delete to uncheck the Interest you highlight in the Old Value list box Global Changes for Activities and Histories Use this dialog to enter the information for Global Changes when adding an Activity or History to a group of contacts In the case shown below a group of contacts will be assigned a new year call on January 11 2013 Add Activity Scheduled OK Activity For MGR sl Entered Bu MGR sl Cancel Description Lompen Wate ime Figure 75 Global Change Add Activity
40. etc When performing an ASCII export you cannot export related notes etc and we do not recommend exporting contacts and securities simultaneously 5 Click on Start to proceed to other dialogs ASCII Export ASCII Export writes the contact fields you choose to a text file When exporting security information all fields are written to a text file Every field is enclosed in double quotes each field is separated from the next field with a comma and each record is terminated with lt CR gt lt LF gt After you click on Start the Open ASCII File dialog allows you select a destination directory and enter a filename for the text file to be created If you choose an existing file the export engine will delete the current contents of the file before writing to it Click on OK to continue When exporting contacts the Contact Fields to Export dialog allows you to select the fields to write to the file To select multiple fields hold down the Cirl key and click on as many fields as you wish To select a group of adjacent fields hold down the Ctrl key and left mouse button while you drag the mouse pointer over them You may select FULL NAME to create a single field with a composite name such as Mr and Mrs John J Jones Jr Click on OK to start exporting The order of the fields in the file is the same as the order of selections in the Contact Fields list box top to bottom Contact Fields to Export Contact Fields L ACCOUNT ADD
41. file server Please Note Marked Letters and Lists are not uploaded and consequently will be overwritten whenever you perform a docking download T 69 Global Changes Use this feature to change information over the entire database You can modify the Owner field thus reassigning the account to another representative Flags or Interests held within a selected group of contacts or the whole database Furthermore you can add an Activity or History to a selected group of contacts Global Changes is found on the File menu under Database Operations Global Changes Modify Data Source Data Source Select Contacts by Test IT List EGetoez Groups T Owner per Add Change Owner Flag Interest Add Acctrvity History Plan Start Global 4ssign Delete Lists Activities Histories Figure 74 Global Changes dialog Selecting Contacts Choose a Broker s Ally data source and select the contacts you wish to affect by e Uncheck List and Owner to change all contacts in the data source e Check List and choose a List Type to use a list of contacts e Check Owner and enter an Owner to change only the contacts with the specified Owner If you are using a list you will change only the contacts in the list having the specified Owner Select Item Click the Owner Flag or Interest button to enter the change you wish to make Or click the Activity or History button to add an Activity or History for
42. for Gregory S Walters File Edit Contact View Portfolio Tools Window Help RODS aa Bley lel k2 210 Robert Adams Marked Letters pe Douglas Allen Marked Notes r Report Group Letter Labels Douglas C Allen Account Douglas Allen EEN j 23654987 Open Date fai 7 1989 Company wont FINANCIAL Last Contact 127 371958 Owner AC102 H Data Source Address 325 West Creek Road 1 Prospect Database Country Carrier Route TI No Mail e ge Work 425 654 9865 ent Home 426 555 6589 ima Alt Phone eat Fax 426 551 6321 Comments Address Note Interests User Fields Book Page Agenda Colles D Contacts 0 Wed Mar 26 1997 01 28PM MGR Figure 156 Mail Menu The Mail menu is the primary resource for creating and printing letters labels and envelopes In this section we will discuss the integrated word processor called the Letter Writer as well as the process for printing Marked Letters Marked Notes and mass mailings to selected groups of people using the process of mail merge 10 1 LETTER WRITER The Letter Writer in Broker s Ally is a fully integrated full function word processor You can open the Letter Writer at any time regardless of what you are doing It is not necessary to leave the Contact view to start up the Letter Writer When you start up the Letter Writer it will occupy its own window positioned on top of the current contact window Note You can also use the Letter Writer t
43. format You may export contacts and or related notes postings activities etc and or securities to another Broker s Ally data source or external database If you export to an external database you can transport the information to another computer Export To Export Type Data Source Test Broker s Ally for Windows vis Using IT List lish tiupe Groups E IT Last Edit date hangee site T Data M Contacts M Related Notes Postings etc Cancel T Securities __ Cancel Help Figure 70 Export Dialog If you have the Gold or above version of Broker s Ally you may export contact or security information to an ASCII file You choose the fields to export 1 Under Data Source select a Broker s Ally data source to export from 2 Under Export Type select the export format either ASCII or Broker s Ally 65 3 Inthe Using group check List to use a list of selected clients and or check Last Edit date to export only those records which have been changed as of a certain date The List option has no relevance when exporting only Security information If you check List also select a List Type If you check Last Edit date also enter a Changes Since date 4 Inthe Data group Check Contacts to export contact information Check Related Notes Postings etc to export notes posting book entries activities and history Check Securities to export security information Symbol Description Price
44. is to add a disclaimer message The disclaimer is used in the normal course of business and encourages your clients to review and verify the accuracy of their portfolio information Note DISCLAIMER Scherrer Resources Inc is not responsible for the accuracy of your reports from Broker s Ally You are responsible for verifying all contents of the reports The software licensee shall indemnify and hold Scherrer Resources Inc harmless from any claims demands liabilities actions suits or proceedings asserted or claimed by any third party and agrees to undertake the cost of defending same including reasonable attorney s fees where such claims demands liabilities actions suits or proceedings arise out of Licensee s use of the Software The licensee takes all responsibility for all calculations usage and securities traded and entered and reports and graphs produced by this Software 142 Samples of Portfolio Reports LT DR BEN Portto lio Fank JE ee eo a Inn In IR hh Ads kink H paths kh D4 eh i Th mr ee nina nian mands 14d orl Fee 1d FIAI marie irk l aka ith deii 11i Ak Dummhert Dn nnm2 Dem mmm u e E Dh elen d Ten E TM i d emm Zahel L ilil limp tee 2 dg cle Denn 3 Tam ol Cele eke CPG oie Geer Dale liens Meee Coal Ca km lauh l 1 Iel van Cds Cmk mpm kh akr Din Omn E Dup Ladin m 0 mm lm l Ten HM Ieku lL 1177 tha TONNE MK Eh 131331
45. let RE User ID ALO EE 83 PIGUIE OC lt EditUserdiilo WEE 83 Fig r 89 GOmMmGUFS User DOG E 84 Figure 90 Edit Security Level RTE ee EE 85 Figure 91 User Preferences Dialog sevice cece iG ege eege ENEE 87 Figure 92 Contact Record with Contact EE 88 Figure 93 Toobar ctp DII e EE 89 Figure 94 Quick Add WEE Te 91 Figure 95 Calculator ge Te BR en EE 92 Figure 96 Interests Dialog WE 92 Figure 97 User Fields Dialog BEE 93 Figure 98 User INTOSETUD dialog WEE 95 FOUE OO VIEW En E 96 Figure 100 FING Contact Deele EE 97 Figure 101 Find Contact by Phone Number 98 Figure 102 Contact record with Contact List to the Hoht nne 99 Figure 103 Add ele 100 Figure 104 Remembered Hesponses 102 Figure 105 Notes page for capturing conversations and information sssssnsssnreessnrrsesrrrresenene 103 Foure LE E e Re 105 Figure TOT Quick eter SCID Cl alOG EE 106 Figure 109 Interests Setup dalog 108 Figure 110 User Field Setup Bel e e BEE 111 Houwe Tis BOOK leet 112 Sie W I ee left ee E 113 Figure To IANS ACI OM Dialog EE 113 Figure 114 Tax Lot Selection for Sales ausicaa aia E DA AE 114 Figuire 115 Quick Add Re 115 Fig res IIe ele 116 Figure 117 Move elle Ol OO EE 116 Figure 118 Marked Letters Dialog for an Individual 117 Figure 119 Marked Letter Dialog for Mailing cccccccsseeeeeeeeeeeeeeeeeeeeeeeeeeeeeaaasceeeeeeeeseeeaaaeeseeeees 118 Figure 120 Linked Contacts EE 118 Figure 121 Co
46. letters Let s say that you are running a campaign to gain a higher level of investment from your clients You want to target clients who have a net worth of over 250 000 and an interest in high growth funds Decide that you will begin the campaign by sending a letter detailing certain high yield funds Using the Letter Writer you can create an attractive marketing letter and generate a personalized mailing to each of your clients that have been marked with an interest in high growth funds and a user field indicating a net worth of 250 000 or greater 1 To create the group mailing you must first create your letter You can use the integrated word processor by selecting Letter Writer from the Mail menu 2 Instead of entering an impersonal appellation such as Dear Client or Dear Prospect Use the built in merge codes to allow you to personalize your letter For example you could enter Dear followed by merge codes for the Salutation and Last Name or Nick Name Once you have created and saved your letter you are ready to create your mailing list Select Mail Group Letter New List and enter the criteria into the Edit List dialog 3 The letter will be merged with the names and addresses from your mailing list and sent directly to the printer Letters will not be printed for any contact records that have the No Mail option checked unless you select the Ignore No Mail option in User Preferences 47 3 9 SALES AND MARK
47. looking For DE 2 Click hides entry you want and then click Display Asset Classes Attributes D upgrade Barcodes Birth D ate Book Broker Numbers Broker Reports Call Interval mt Cancel Figure 19 Help Search dialog Executive Overview of New Features 1 Overall we added over 200 new features for ease of use and expanded data capture 2 Expanded Standard Level Features to include Net connectivity e mail and dozens more fields 3 Expanded Gold Level Features to include Palm Pilot data connectivity and fulfillment processing 4 Expanded Portfolio Level Features to include transaction capture LIFO FIFO AC and cash ledgers 5 Introduced the Advanced Portfolio 4 Level under the new name Advisor s Ally 6 4 Level contains Performance Reporting Fee Based accounting and Tax lot accounting 7 Now offering Web Broker s Ally Outsourced or in house installation 8 Added www BrokersAlly com portal site for quick access to securities industry information and Broker s Ally software information Read more detail about these new version 8 features below Standard Level Feature Enhancements This section describes the detailed features added to the Standard Level of Broker s Ally e User Fields Tripled the number of User Defined Fields from 16 to 48 thus providing expanded search and sort functionality for marketing and client management functions e Added e Mail Field and URL Data Fields
48. mailing to a special group with a phone call You can produce a campaign list with specified characteristics Once you have created such a list you can save it and reuse it whenever you wish You can work through the list as time permits and come back to the same place on the list by crossing off the entries as you go You can categories these campaigns in groups such as calling type campaigns action type campaigns big group Campaigns and maturing investment campaigns and Broker s Ally makes it easy to segregate and organize them under these headings To generate a telephone calling campaign Calls list choose View from the menu select Campaigns and Call Lists click the New List button and give a descriptive name to the list you are about to create and press the OK button You can use one of the pre defined list templates or create your own List Templates When creating a campaign list you can choose from a pre defined list By selecting one of these list templates Broker s Ally will create the search and sort criteria for you You can change the search and sort criteria before creating your list by pressing the Edit Filter button New List Fa List Name Calls for the Week Template Actions for today only Birthdays month day sort Calle as of toda Calls List for the next 7 days Calls List for today only en mm Figure 40 List Templates Edit List You will now come to the Edit List dialog Because we provide extraordin
49. of data and then rigorously stick to your rating system Your ability to select individuals for a specific letter or other activity will be dependent on the consistency of your ratings The Rating field will remember and store previously used responses thus helping you to use a consistent rating scale See Remembered Responses on page 102 Status The status field defines where this person fits within your database management system Typically you will use entries such as Lead Prospect or Client to characterize the status of the person in the traditional 3 step customer relationship hierarchy A lead is a person about which you may only have a name and phone number while a prospect is a qualified profiled lead and you have entered a large quantity of specificity about their investment objectives and risk tolerance Then a prospect that opens and account becomes a client Your ability to select individuals to receive a specific letter or to be the correct target of a campaign activity will be dependent on the consistency of your status assignments The Status field will remember and display previous responses you ve used in this field in order to help you use consistent names See Remembered Responses on page 102 You might consider creating a status called Other to list friends vendors and such Comments Use the Comments area to store brief and relatively static information about the contact e g small talk topics name
50. of the Global Change dialog 11 Select the start date of your plan 12 Highlight the plan you wish to Apply and press OK 13 At the Global Changes Dialog press Start 14 Broker s Ally will display your lists that have been created Highlight the list you would like the Sales Plan to be applied and press View List 15 Press the Global Changes button and you plan will be applied to your selected group of contacts For More information on the Global Changes functionality please see Global Changes section found in the File Chapter 7 8 CAMPAIGNS You may wish to create a list of contacts you would like to call in order to offer a new product Or you may wish to send a letter to a group of people who have expressed interest in a certain type of security Perhaps you wish to contact your clients holding a maturing bond Campaigns allows you to create a list of contacts you want to use for calling mailing printing a report exporting to another application etc Since we allow you to create an unlimited number of lists to provide some organization for all these lists and to enable you to find them again quickly we have created list categories for Calls Actions Maturing securities and other miscellaneous Groups The mechanism for creating a list is identical for Calls Actions and Groups whereas a Maturity list is based solely on the securities your clients own Call Lists As a busy advisor you know that your time is valuable Using
51. only by the available space on your hard disk Lists A very powerful feature of Broker s Ally is its ability to search through the entire database to identify a group of records based on specific criteria The search criteria can make use of the fields in the contact record These lists can be used to print reports print merged letters print labels place phone calls etc Each list and the criteria used to generate the list are stored for future use After you make changes to your contact database you can refresh a list using the original criteria by simply pressing the Refresh button in the Group List dialog For example you might create a Group list where you specify that the list contain all contacts with a specific status such as prospect You can use this list to go directly to each contact and make a phone call or mail merge a letter You could also print a report or send letters to only the selected contacts that are on your list excluding those that might not meet your criteria perfectly Maintenance The Maintenance feature which is found under the File Database Operations menu can be used to re index and pack database tables for more efficient operation of Broker s Ally If you run into any problems with your database in Broker s Ally you should run this maintenance program This should clean up any bad information that might be found in your Broker s Ally data files brought about by potential damage to your hard drive t
52. recognition aids family history and so on In contrast to the Comments field you will use Notes pages to save a Summary of each conversation with the contact with a date and time stamp and you will use Interests field not the Comments field to detail their investment objectives No Mail One of the last fields on the Contact page is a check box for No Mail You can use this field to specify which clients or prospects should not receive mail You may want to use it simply to designate those clients who have requested that they not receive prospecting mail or to prevent multiple mailing to clients with multiple recipients such as a husband and wife with separate accounts As a check box it works as a simple yes or no toggle either the account gets mail or it does not You can of course ignore the setting for a particular mailing by selecting Ignore No Mail in User Preferences 101 Specifically if you check No Mail it will prevent letters from being printed for the designated contacts when you do a merge print operation with the Letter Writer It will prevent mailing labels from being printed for designated contacts when you print the Address Labels report It has no effect on Marked Letters Marked Notes or any other report Remembered Responses The remembered responses function acts as a memory of data entry stores it and presents it to you later if you wish to use it again Fields such as Salutation State Status and Rating are able
53. records The normal Broker s Ally installation copies the Palm d from the Broker s Ally CD onto the hard drive in the directory specified However the Palm dll then has to be installed or registered with the Hot Sync manager in order to be used and that s what the Install Palm Pilot Address Conduit button does Trouble shooting After the synchronization process occurs a log of this action is made and a file is created This log file is presented to the user on the Palm Pilot and in the log it will list BA Address Book If it does not show this file then there was a problem with the original installation Alternatively if it does show this file in the log then it will say whether the sync was okay or not If it says it s okay and no data is viewable then the sync occurred but no data was transferred In that case the user needs to check in the Hot Sync Manager to see what the Hot Sync Action was for the BA Address Book If the log says it wasn t okay then call our Help Desk for trouble shooting support For more information on Palm Pilot search for www Palm com on the Internet 211 APPENDIX M NETWORK INSTALLATION Installing Broker s Ally V9 on Network Server and Single PCs This document describes installation procedures for version 9 The Broker s Ally installation is automated with screen prompts We suggest you follow the questions one by one and accept the normal suggested installation configurations So that your ins
54. s Ally data source To create a new list select a data source and click the New List button 130 CALL LISTS Available List s Close Prospecting List MGR View List Edit List Data Sources Delete Ligt Test Refresh List Help Figure 132 Call List Dialog Creating a Call List Your normal calling activities are conducted from the Activities Calendar However this Campaign Calling List option is a powerful supplement to the Activities Calendar specifically for managing a calling campaign To begin the creation of a Calling Campaign List select New List to go to the Edit List dialog Broker s Ally supplies you with list templates but also give you the ability to create a list on any specific criteria you wish Because we provide extraordinary flexibility in choosing selection and sort criteria for lists this dialog seems a little complex when you first encounter it However you build all expressions using plain English phrases You define Search Properties to select contact records and Sort Properties to establish how to order these records Then when you Close the dialog Broker s Ally creates the list Search Properties Click the Add button adjacent to the Search Properties list box to bring up the Search Logic window You will build a logic expression utilizing one or more database fields to construct the filter for selecting contact records You can use the fields in one or two of the following fil
55. s New menu will present you with installation instructions an outline of the feature improvements and information on obtaining technical support from Scherrer Resources 193 i Readme txt Notepad Ol File Edit Search Help The following information 15 available in this README file 1 Installation Documentation a Windows 95 98 and HT 4 0 2 Feature Improvements of Broker s Ally of version 8 68 a BA Version amp Feature Improvements 3 Obtaining Technical Support Fax Back Support First Time Buyer Support and Upgrade Buyer Support Support Plus Pack Per Incident Support L Figure 197 The What s New Read me File under Help Menu About Broker s Ally The About Broker s Ally dialog is the standard windows about dialog that shows copyright information the Broker s Ally version number your serial number and the amount of free memory About Broker s Ally Da Broker s Ally Network Portfolio Version 3 19 Copyright 71985 2001 Scherer Resources Inc Serial 601119950210000 Free System Resources Total Memon 2093056 ED Memon Available 2021760 K E Figure 198 About Broker s Ally dialog 194 PART 3 APPENDIX APPENDIX A MAIL MERGE WITH MS WORD The Broker s Ally Mail Merge Wizard for Microsoft is found as a menu item in Microsoft Word The Wizard will assist you in performing mail merge tasks in Word using your Broker s Ally contact information The Broker s Ally Mai
56. security appearing in the report Automated pricing is provided by the IDC electronic download utilities When adding a security using the Edit Securities menu item the Edit Security window is displayed Clicking on the Add button will display a dialog titled Add Security which asks for the symbol After entering the symbol and clicking OK you return to the Edit Security window with the new security record already loaded for editing on the left side of the window Because it is a new record all fields will be empty except for Type Price and Annual Income which are defaulted to Stock 0 and 0 The Name and Description fields can be entered No scrolling is necessary The list on the right side of the window will automatically scroll to a section of the list that displays the newly added security but it will not always highlight that security Disregarding what the list may have highlighted the input fields on the left side of the window always correspond to the newly added security Both the name and description fields are available for entry right after the security is added To manually edit a security you must first select one in the list box Then you can change the Symbol Name description Type Price Maturity Date etc When you use an on line service for automatically pricing a particular security you will need to enter the name of the service in the Pricing Service field 80 Edit Security Name ILGE JIntemet Capital Gro
57. specific to the currently selected printer allowing you to select page orientation paper size paper source etc See your Windows and or printer user s manual for detailed instruction for setting up your particular printer There is a separate printer setup for Reports that allows you to temporarily change the printer settings for a particular report E3 Printers File Eat View Go Favorites Help Delete Properties Hack Fottapg Up Cut Lopy Paste Undo Address g Printers al Add Printer oe Canon LBP Ill Ga Compaq PageMarg 15 Grammes pen ue COLOR ESC P2 Epson Soke Po ESC P 2 24 HP DeskJet Ge HP DeskJet 400 Gag HP DeskJet DUU 26 HP Lasernet 4L G IBM 4029 LaserPrinter G IBM 4039 LagerPrinter 6 Lexmark 4039 LaserPrinter Plus G Lexmark 4039 Plus PS G Lexmark Color 4079 plus PS Figure 83 Print Setup dialog for Windows 5 9 EXIT Use the Exit option to exit Broker s Ally The Exit option closes the current session terminates the application and returns to the Program Manager or the last application you started 78 CHAPTER6 EDIT MENU Edit Contact View Portfolio ent Etrit Topy Etri FE Haste EEE Securities User ID User Preferences Figure 84 Edit Menu The Edit menu contains options for cutting copying and pasting text within and between data screens in Broker s Ally They also allow you to move snippets of text between Broker s Ally and other Windows programs You can use the U
58. the database of Securities Purchase Sp D ate IARA Security Tt K Quantity oS Price jo Interest DN _ Post Commission booo Se Fees E Securities Total lo Held At rT Reference Number Descriptions Figure 146 Enter purchases or sales Securities Ledger Securities purchased and sold are entered into the Securities Ledger by doing a trade and selecting the action you prefer Thus the entries on the ledger increase and can be sorted in many different orders such as by description quantity price market value and gain or loss in ascending or descending order Using the radio buttons on the Ledger screen you can show open positions closed positions or both open and closed positions sorted in any order A calculator button is added 148 to the screen for convenience of the user in making quick calculations Also quick access to the securities master file is also available in cases where you wish to use securities already entered into the securities master file Cash Ledger The cash ledger presents cash increases or decreases to and from the account and lists them in order of date of transaction action quantity price and amount are recorded The cash ledger tracks cash used to purchase other investments or the proceeds of investments converted to cash 8 6 PORTFOLIO TERMINOLOGY Because different software products handle their terminology in different ways this section
59. the clipboard From there it can be inserted into the current document in another location or placed in another window or even in another program If you do not wish to remove the data from the current document or data entry screen you should use the Copy option instead 6 3 COPY The Copy option operates exactly as the Cut option except that it leaves the selected data in position and places a copy of it in the clipboard 79 6 4 PASTE The Paste option completes the Cut amp Paste or Copy amp Paste operation It inserts any data located in the clipboard into the current document or data entry screen at the insertion point If there is no data in the clipboard the Paste option will not be available and the menu choice will be dimmed If you wish to move data between Broker s Ally and another Windows program use the Cut or Copy options from the source program and the Paste option from the target program 6 5 SECURITIES The Edit Securities dialog allows you to look up add modify or delete investment information for the securities master file All investment securities Known to Broker s Ally appear in the list box on the right You should enter a security in this master dialog before entering transactions of this security in the ledger Otherwise Broker s Ally will assume the security to be a stock when it performs calculations Furthermore the Unrealized Gain Loss report is only meaningful when current prices are provided for each
60. the communications log file DCI LOG and the Broker s Ally download error file ERRORS LOG The Broker s Ally download utility uses the security Symbol ticker or CUSIP to request security information and always requests the latest available prices If Interactive Data does not recognize a Symbol or information is no longer available you will see an error message in ERRORS LOG If prices are not yet available for the current day Broker s Ally warns you and allows you to abort the operation For more information about the Interactive Data IDC Download module contact Interactive Data at 800 432 5463 and select option 1 See http www interactivedata rts com Pershing Data Download You must purchase the Pershing download module for a special fee and request the data feed from Pershing The purpose of the Pershing download PERSHBA6 module is to transfer 1 client information 2 posting book data holdings 3 security information and 4 setup definitions from ASCII files to Broker s Ally The ASCII files for 1 2 and 3 are created by InfoDirect while the definitions file is created manually and distributed separately Although Version 1 is does not include the ability to download holdings and securities the next version will do so 68 This download utility will add or update clients postings and securities PERSHBA6 can run InfoDirect to create current ASCII files before loading the data Pershing may wish to modify InfoDire
61. the envelope is to be fed left aligned Other choices are Center and Right alignment Preview displays your selection 4 Under Rotation experiment with the selections until the envelope in Preview is displayed in the correct orientation for your printer 5 Click the Font button and select the desired printer font 6 Click the Print button to print the envelope 120 Label Choose Label to go to Reports and print a mailing label for the current contact Quick Letter You must be viewing the Notes Page of a contact in order to select Quick Letter Click on Quick Letter to choose or create a Quick Letter template To insert a Quick Letter into the Notes Page highlight a template and click on Use or simply double click on a template See Quick Letter on page 105 Report Choose Report to print a specific report for the current contact Contact s Agenda The Contact s Agenda shows all activities you have scheduled for the current contact It works just like the Activities Calendar described below except that it is a calendar of events for the current contact rather than all contacts There is also an Agenda button in the contact window that activates the Contact s Agenda dialog without having to select this option from the menu 7 5 ACTIVITIES CALENDAR The Activities Calendar displays the activities Calls Actions and possibly other types that you have scheduled for all contacts You can display the calendar in one of four views
62. the letter with the Letter Writer option on 116 the Mail menu You select specific letters by their file names To mark the current record select the Mark a Letter option that opens the Marked Letters dialog box Marked letters for Jim Scherrer Birthday bal l 8 Delete Delete All Mark For Close Select ia s ian sl Marked for MGR sl Iwer d E it Figure 118 Marked Letters Dialog for an Individual This dialog box lists all letters that have been marked for the current record and waiting for you to print On a network these are letters you have assigned or letters another user has assigned for you If another user has marked a letter for this contact you will not see the letter in your list Each user has an independent list of letters You can Add or Delete letters which are queued up to be printed for this contact Add When you click on the Add button the system displays the Add Marked Letter dialog This enables you to select a letter to be added to the list for the current record When you add a letter for a contact it joins your list of marked letters However you can transfer it to another user via the Mark For button Delete The Delete button erases the highlighted entry in the marked letters list box Delete All To erase all entries in the list box click the Delete All button The content of the list box depends on what you choose in the Select scroll box discussed below Mark For If you wish to
63. these options it is necessary to first highlight the text that you want to alter by placing the insertion point at one end of the text pressing and holding the left mouse button and dragging the highlighted cursor to the opposite end of the text After highlighting the text to be altered select the Format Text option and select the font style and size of the type Further you can add the Underline and Strikeout features if desired and you can set the color if you have a color printer x T Mittal Cancel Modern F Monotype Sorts W Screenfonts E MS Dialog Light ee F MG LineDraw Bold E MS Sans Serif l italic Color T Underline LD PS l Strikethrough AabbCeD del fiseHhlijjFEL I MmMnOoPpOgkros TtU u vain Figure 161 Format Text dialog 165 Format Paragraph Broker s Ally defines a paragraph as the text between two hard returns locations where you have pressed the Enter key to start a new line The paragraph icon on the toolbar allows you to toggle on or off the display of hard returns The Format Paragraph dialog allows you to set the spacing before the current paragraph the indentation and the alignment of the current paragraph You must select part of one or more paragraphs before selecting the Format Paragraph option Format Paragraph Alignment Left Centered C Righ Justified Spacing ee 15 lines F Zines UK Indent lo inches Cancel Figure 162 Format Paragraph dialog Format Page The
64. to remember previous responses and allow you to select an item from an attached list rather than enter it manually The remembered response list appears when you double click in the field edit box Simply double click on a field right mouse click or press Cirl R When the remembered response list appears double click on the desired entry in the remembered response list to place the entry into the field To add an item to the remembered response list type the entry while the response list is visible When you move the cursor to another field the entry will be added to the list before the list window closes Or you can type an entry open the list window and move to another field E Hew Contact Name Sany amp fay iFirst n fea fi Account 2nd Name Open Date f Owner Company Last Contact f Data Source Address Status Rating MAMAHI Test City State f feet Country f Carrier Foute SW Work I ext Hom Bmore umne Fax ddd Comments We eer Freld Address Hotes Interests mec 2m Agenda Figure 104 Remembered Responses Remembered responses for Comments Flags and Notes work differently Responses are not saved automatically and the pick list does not appear until you double click in the edit box After you call up the response window you may use the Add button to enter a response into the list To copy a response from the list highlight an entry and click on the Pas
65. to help you categorize your many lists and be able to come back to them over and over again to manage your multiple campaigns On the other hand the Maturity List category allows you to generate one of more lists based on the maturity date range of securities owned by contacts most commonly a CD coming due or bond maturity date To create a list you merely specify a range of maturity dates and Broker s Ally will search all contacts for securities with qualifying maturity dates 7 9 REPORTS The Reports dialog allows you to print or preview a report or mailing labels 1 Select the report Type Standard Labels or Posting Book by clicking one of the radio buttons located at the right of the Reports dialog If you choose Labels you should also select a Label Form Sheet or Continuous Choose Sheet for Laser and other page printers or choose Continuous for sprocket feed impact printers 2 Select a specific report from the Available Reports box Although you will probably never need to do so you can change the directory where the report files are found by clicking on the Browse button The Browse dialog will appear allowing you to specify a new directory for the RPT files 3 Select a List or Data Source to use for the report Most reports use a List that you have created or will create in order to determine which contacts are to be included in the report The report records will appear in List order Because Marked Notes and Security report
66. two distinct windows allowing you to compare their entries or move data from one window to another window using drag and drop or other windows editing tools such as cut copy and paste One of the key features of Microsoft Windows and Scherrer s Broker s Ally is the consistency of the menus and command controls The icon used to close an application always appears at the top left corner of the applications main window and always closes the current application The same concept applies to all Windows programs Thus once you have learned a control or function in one Windows application you have learned it for all 4 1 THE WINDOWS DISPLAY The Windows display is made up of Menus Icons Groups of Icons Control Buttons and of course Windows The main Windows screen comprising the entire display surface is called the Desktop The Program Manager is used to display icons representing other programs and the Main Menu It also controls how other programs interact and allows you to switch between them The Program Manager is identified by its name in the Title Bar of its primary window When you close the Program Manager you close Windows and any program running within Windows Within the Program Manager s main window there are several smaller windows containing groups of program icons as well as several individual icons representing other program groups not currently displayed The Program Manager main window Group windows and group Icons demonstra
67. up want the premier Support Plus Pack annual subscription so can get right through to a qualified support engineer every time call Name Address City State Zip Phone Fax e mail Brokers Ally Serial Number B Brokers Ally Level Standard Gold Portfolio Network You can find out which level you have by looking on your Broker s Ally distribution diskettes Payment Method C Check or Money Order O Visa O MasterCard O Amex UL Discover Card Number Expiration Date Signature Broker s Ally Support Plus Pack annual fees are dependent on the Broker s Ally level in which you currently own Support fees are non refundable after initial support service call Support Plus Fees Standard Level 150 Gold Level 200 Portfolio Level 250 Added Network User 95 To order call 484 875 1705 or for faster service fax this order form to Client Services 484 875 1704 204 APPENDIX G ALLIANCE PARTNERS amp VENDORS The contacts listed below can aid you in specific issues you may have with application software and hardware technology related to your use of Broker s Ally or your PC workstation These companies will help you or your Information Systems Department to obtain market data securities information or computer based tools to use in your advisory business practice Name AIMR Association for Investment Management amp Research PO Box 7947 Charlottesville VA 22906 7947 804 980 3647 Tho
68. you have a modem you can click on Work and the computer will dial the work phone number for you You can take notes make changes and call up the Schedule Activity dialog to schedule the next call Using the right and left arrows on the contact screen you can scroll through your list The Actions list and Groups list function exactly the same and we have provided these categories only for your convenience The Maturity list is designed to create a list based on maturing bonds and selects contacts by examining ranges of Maturity dates in the posting book 42 CALL LISTS Available List s Close Calls for the next days HGRA View List Todays Calls only HGR Hew List Edit List Data Source s Delete List Chent Database Prospect Database Refresh List Help Figure 42 Calls List Dialog The View List dialog has other buttons besides Zoom to a contact You can use a List to generate reports or mailing labels or print letters with the mail merge feature Broker s Ally Portfolio Version 6 51 for Gregory S Walters File Edit View Portfolio Mail Tools Window Help OCESH HERENT E LIST VIEWER All Clients MGR 23 Contacts Close zoom Reports Mail Merge Envelopes Check Item Reset Item IV Skip Checks For Help press F1 Calls 0 Contes D Wed Mar 05 1997 11 03AM MGR Figure 43 List Viewer 3 5 ALERTS The Alert system will keep you on schedule while you are running Broker s
69. 131 d d l JEE Ig vd AN IR In rijki 1J ee IEUKAE E maid J ldi i JJkbdai l Jidin J11 b7 778 ha 11131 qi Rhin a LU J TSR TES RA Account ve Gla rka Wa Ua ALCA Shas LEE HE MH AE Ji Pe s t bis rka Wa ua Figure 139 Portfolio Rank Report a Broker Report wiri ATATA Allen Leugh Portfolio Valuation Summary ak d an Deogiut icy OATH Ardell 1 Tre Creech Awd Crcacl PL lint BORIS Soup Tepe Huonoa bood SOND Tow Moke Vue taco dE pen Amun 10 240 oo 10 2400 00 CASH MOREY MARETT Sour Tripe CASH r MONEY Wak RET Towi EQUITY zaun Trpe Suk ERT Y Towa OTHER Sout Trp Coum OTHER Tous Total Portfolio Moke Vue Homi ra Hormi ra doles doles 28 od lta i EAR dd Ihe dd Opa Amun Hoba Vue EI 130 301 33 l Actpreraonst Grr Tion Account 123654067 Figure 140 Portfolio Valuation Summary Report a Client Report 143 PAI aaa Portioho Valuation Summary l Brp regronvr Locp Tien Allen Dough Account 113654467 at win Cou 0 sien OATH ANEL 11 Tre Crei Hood Dor AL 11h His ret Ws Mo Figure 141 Portfolio Valuation Summary Graph ES Preview Bond Matunty Distribution el LEI ei Total 5 Bf A8 Bond Maturity Distribution 1 Bradford James E IY Account 166598453 mI r Jama E Erdford IV BAZD INC 3404 Huey Aventus Jockaenwville F FRetbte entotlwe Gren Malter KKH Maturity Barhket Value Feccent of To
70. 2 AM a697 11 50 AM 876 97 11 53 AM 876797 11 49 AM 144 95 7 50 PM 11710799 11 54 AM Figure 205 View of files within Broker s Ally shown from Windows Explorer 213 APPENDIX O PRICING Software and Services Pricing Broker s Ally Version 9 Pricing for Initial License Standard Level 395 includes all the basic features Gold Level 695 plus 300 for each additional network user Portfolio Level 995 plus 400 for each additional network user Advanced Portfolio 1995 plus 500 per additional user Upgrade Pricing to version 8 from Previous Versions To Version 8 Standard 8 Gold 8 Portfolio 8 Advanced 8 From V7 Standard to 175 350 650 1650 From V7 Gold Level to N A 250 550 1350 From V7 Network Gold N A 225 user 400 user 750 per user From V7 Portfolio N A N A 400 1050 From V7 Network Portfolio N A N A 400 user 575 per user From Previous version 1 2 3 4 5 6 to version 8 Add 200 per user to each of the above Telephone Support fax back amp e mail support and Newsletter Platinum Support is our highest support level and includes all the features of the Support Plus pack plus software maintenance for Standard Gold and Portfolio Level software shipments twice yearly Option Platinum Support Support Plus Pack Standard Level 305 150 Gold Level 355 295 network user 200 Portfolio Level 405 295 network user 250 Advanced Portfolio Included with Maintenance Fees Network Per Added Use
71. 24 AmE No Time 5 Mary Peters 11 05AM Douc CONTACTS 24 Carol Wagner DEON 5 contacts 2 20 Kenne y 9 Daily Activities Wed Feb 5 1997 at 11 05 AM 12 00PM lemer Bradford CALL GMonthReview 20 Daily Activities 1 00PM 2 00PM e es eT ji r 20 History Calendar Format Activities for Zom Close Fay aen wem Coen i Gl Calls 0 Contacts 0 Tue Mar 18 1997 02 39 Figure 186 Open Windows List 187 CHAPTER 13 HELP MENU Broker s Ally Portfolio Version 6 51 for Gregory 5 Walters File Edit Contact View Portfolio Mail Tools Window Balae Contents ELSA Using Hel EN PES CONTACTS 39 MES E Financial Terme Glossary Account Tip of the day fi 241 8839 2nd Hame What s new Company PRIME PROPERTIES INVESTMENT L S Owner MGR About Brokers Ally erer Address o East Market alus Frospe DI Box 1594 Prospect Database Country Carrier Route T No Mail Records 39 Work 407 955 1 212 ext Home 407 666 9987 Alt Phone 07 21 5 6666 et Fax 407 555 7876 Save Comments Address Notes Interests User Fields Book Pag Agenda Close Zoom Calls 4 Contacts 0 Tue Mar 04 1997 04 49PM MGR Figure 187 Help Menu The Broker s Ally Help menu provides on line assistance for all available features and functions You can access the Help system either by selecting one of the Help menu options or by pressing F1 The Help Index and Searc
72. 7 List 129 List categories 129 List Templates 40 List View 132 Mail Merge 133 Reports 133 Skip Checks 134 Zoom 133 Lists 48 Global Changes 72 Login 82 223 M Mail Menu 162 Group Letter 174 Marked Letters 172 Marked Notes Labels 173 Marked Notes Report 173 Mail Merge List View 133 Microsoft Word 195 Maintenance 74 Make Link 118 Mark a Letter Contact 115 Marked Letters Mail Menu 172 Mark a Letter 115 Marked Notes 103 Labels 137 173 Report 136 173 Market data 29 200 Maturity List 42 134 Menu Contact 114 File 57 Help 188 Letter Writer 164 Mail 162 View 95 Window 185 Merge Fields 168 Ghost fields 169 Letter Writer 170 No Mail 171 Microsoft Word 195 Move Contact 115 Multimedia Sound 89 Multiple Document Interface 15 N Network 20 Network Installations 212 New Data Source 57 NickName 109 No Mail 100 Group Letter 174 Ignore 89 Merge 171 Notes Report 136 Notes Access Control 25 Notes Categorization 25 Notes Expiration 25 Notes Page Contact View 101 O ODBC 58 Data Source 58 Settings 75 Open Transaction 112 Open Windows List 186 Orphaned records 74 75 Owner 100 Owner Field 21 P Page Letter Writer 170 Page Format Letter Writer 166 Palm Pilot Interface 26 Paragraph Format Letter Writer 166 Password 22 Passwords 82 Enable 87 Paste 80 Pat
73. 90 00 Set Order C Price Cash 29200 00 P Buying Power 75805 00 Market Value C Gain Loss New Valuations Monitors Address Hotes Interests New wars to sort and organize holdings views Cancel Figure 26 Holdings Ledger New Sort Order Expansion all functionality e Cash Accounting Expanded cash balance ledger and accounting functions for debit and credit to cash accounts e Connectivity to Clearing Firms Created data loading utilities to load data from the following back office services with their support Beta Systems Pershing Fiserv US Clearing CheckFree APL TD Waterhouse Sungard Phase3 and FT Interactive Data Corp for end of day market pricing of portfolio Robert Adams o xl E Account 10000 00 Damd oss 0 00 Price Quantity Security AT amp T Corp 56985634 Owner wos Dh 100 95 90 9590 00 590 00 Internet Capital Grof S ale E Mortel Networks Cot GE Date Select Tax Lots for Sale Security JICGE Quantity Boo Records 3 Price Dr Ge Ge Interest T Est Save t Value Mkt Betray yaa Commission jo Calculator SES Cash Fees jo Securities Buying Power T otal 750 Cancel S Reference Humber Figure 27 Tax Lot Selection for Sales Address jenda Description 29 Robert Adams KE Quantity Price ME Value Damdl oss AT amp T Corp S00 IBM 100 95 90 9590 00 Internet Capital Gro 1000 1 50 1500 00 M
74. A new security screen has been added which displays the securities with information that is common to all security tyoes From this screen the user can navigate to other windows where a security can be added or edited Also a new option has been added to the User Preferences screen that relates to securities The new option is labeled Security Database and the two choices are Use Ticker as Key or Generate Security ID The following sections describe the new features and appearance of the user interface related to securities The new Securities screen displays all of the securities stored in the Securities Master file database and allows for adding editing and deleting of these securities Clicking on the Add button brings up a menu of security type choices Selecting one of these choices takes the user to the appropriate security screen for entering information 158 Security Type Screens Each security type has its own screen in which data is entered or edited From this screen the user can enter the price history perform a symbol change or execute a corporate action Here is the screen for a common stock Edit Security Name ILGE Internet Capital Group Ippe Stock X we Description as of Annual Income jo Maturity Date k Pricing Serice Interactive Data 7 Add Delete Corporate Actions Edit Frices Close Global Change Pricing Service From Interactive Data sl Tol Interactive Data sl UK
75. AM INSTALLATION SETUP amp STARTUP Microsoft Windows 95 98 2000 ME XP Vista Windows 7 e When inserting the Broker s Ally CD the installation program should execute automatically If the installation program does not start follow the steps below Select Start located in the lower left hand corner of your screen Put distribution CD into your CD Drive Choose Run from the file menu Type D SETUP in the run dialog box and click OK The installation program will ask you for licensing information and to specify the directory where you would like to install Broker s Ally We suggest accepting the default directory C BA9 Click OK Follow the instructions as they appear on your screen Now you have a new program group within your Program Manager titled Broker s Ally 9 Run Broker s Ally by double clicking on the Broker s Ally icon For a first time installation you will need to set up the Broker s Ally Data source 0 Click on the OK button in the New Data Source Setup screen when it appears This will setup your Broker s Ally data source OF a I a Oe You are now ready to start using Broker s Ally 1 5 USING BROKER S ALLY FOR WINDOWS Broker s Ally uses Windows as its operating environment This allows the program to display multiple windows on the screen simultaneously and use all of the features of Windows This is called a Multiple Document Interface or MDI This section will describe the basic elements of Broker s
76. Activities Delete Data Source Delete Data Source removes data source names from the list of data sources and erases their associated unique files from the hard disk It does not delete data in the common data files such as the posting book or activity files unless you are erasing the last available data source To delete a Broker s Ally data source select Delete Data Source from the Database Operations menu Broker s Ally will display the Delete Data Source dialog Click on the name of the data source to be deleted and then click on the Delete button Broker s Ally will ask you to confirm your decision since the deletion is permanent and cannot be reversed You are advised to backup your data files before you delete them in case your decision proves hasty 73 Delete Data Source E4 KR Close Test Figure 78 Delete Data Source Dialog Contirm Data Source Delete AN Delete Data Source Main Database Figure 79 Deletion Confirmation Dialog Maintenance You may use the Maintenance function for re indexing of dBASE files The most common cause of a malfunctioning data file is a corrupted index file If file searches or updates fail or take much longer than expected you should re index the file If you have checked Direct File Access in User Preferences Maintenance will also pack dBASE data files i e remove deleted records Maintenance does not remove orphaned records nor can it recover corrupted files
77. Ally and how to get around If you need a basic introduction to Windows please refer to Chapter 4 15 Biet Alp ERIC gal i E gt art rik Haag lite Weg W IZ Sen Men Bus Whe Tr Fi Sa E wee EI ST i Fee Open Came 121285 ti ta aaa a oo nodal ZE O fe Dae a ET Ge Kass aee Dec 3 Corer Ama Pl Mal DEER Dinan 0 parii l Ge ap gie siiis ke s oiia Sa o T deiir denge fr iere As KI aeda Free Acri bor a Dale eby C Hey l gay Ile z Bha Umak 6 Pi fer 7 2000 Lae PR Figure 13 Display with several windows open Multiple Document Images Fundamentals After starting Broker s Ally you see the main application window with a menu at the top and a status bar at the bottom You can also display an icon toolbar immediately below the menu as shown See User Preferences to learn how to create or modify a toolbar As you make selections from the menu Broker s Ally will display dialog boxes windows requesting that you enter specific information and view windows windows that show text or data fields that you may or may not be able to alter Many of these view windows can be resized but most of the dialog boxes are fixed and cannot be resized Most view windows can be reduced to an icon tiled or cascaded Getting around As with most Windows programs the best way to get around in Broker s Ally is to use your mouse You can use your mouse to select menu choices activate specific windows or click on opt
78. BrokersAlly com 207 APPENDIX I DATA MIGRATION METHODS This section describes the many ways to move data from other software programs into Broker s Ally Generally the ASCII Loader utilities built into Broker s Ally Gold Level enable you to map and import data from other lists and other software products However specialized high performance utilities have also been built for some other software products ACT ACT users can quickly move their data from ACT into Broker s Ally using the ACT to Ally data conversion tools utilized by our software developers Simply ship your database to Scherrer Resources Inc and our development staff will convert the data for a one time conversion and e mail the packet back to you The cost is based on number of records 100 per 1000 of contacts We transfer names address notes phone fax numbers activity dates user fields letters and documents MS Outlook Users of Outlook wishing the more powerful added functionality offered by Broker s Ally can quickly migrate data using the ASCII import functions in Broker s Ally Simply export the Outlook database into ASCII format then use the Broker s Ally File Database operations ASCII Import function to load this data into Broker s Ally You can map fields to fill the database as you desire 208 APPENDIX J CREATING MAPS Custom Maps for Your Business Scherrer Resources Inc offers a special service to corporate users of Broker s Ally who
79. Created fields to track a customers e mail address and the URL universal resource locator of their web site for quick access to customers for correspondence e Addresses Management Tracks more than one address per customer and tracks the date they change residence from one address to another such as summer seasonal address or business and home addresses etc 24 e Quick Web Connect to launch your browser from within Broker s Ally and access our help site and the popular www BrokersAlly com portal for productivity advice tools and the web window to Wall Street e Broker s Ally Portfolio ersion 8 16 for Jim Scherrsi Eile Edit Contact View Portfolio Mal Too Web Window Help r v Brokerz llu Com I CG ES E a e Support a Fe r E Quick Web Access to Brokers lly com Bl E Ill Figure 20 Internet Access from Main Menu A Quick connect to BrokersAlly com KE Robert Adams Mk Account a E E E E D Marital Gtoabushd amed 56965634 Investment Goal secondary Goal Spouse Hammel Catherine Owner wos l Data Source KR Risk Tolerance Spouse DOB 2 9 1953 E perience Spouse SSH 123 Records 3 Wedding Annin Jak Objective Save Close A Now 48 User Defined Fields for more data storage and sorting i EBook Page Agenda Figure 21 User Definable Fields Expanded up to 48 fields on 3 quick access pages Ce User Fields 1 16 User
80. Daily Weekly Monthly and Summary You can access each page by clicking on the corresponding button Use the Summary view to see all activities in ascending chronological order In addition to the various views you can switch between pending activities and completed activities by clicking on the History check box The Show Type list box allows you to limit the type of activity displayed By checking one or more specific activity types the calendar display will filter out all other activities If you do not select any activity type s the calendar will display all activity types When you click on the Zoom button you will see the contact record associated with the currently highlighted activity You can also double click on an activity to Zoom to the contact window The Activities For scroll box initially shows your User ID When running Broker s Ally on a network you can select another user s User ID from this scroll box to view his her Calendar Your network administrator must grant you the right to view another user s Calendar in order to take advantage of this feature The four views contain the following information Daily The format is a daily appointment calendar with the time of day on the left followed by the contact name and activity description The calendar shows all time slots You can change the view resolution of your Activities Calendar from 30 minutes to a variety of different views If several activities are scheduled fo
81. ETING MANAGEMENT WITH BROKER S ALLY Broker s Ally contains many sales and marketing support features to help guide brokers to sales opportunities As a busy broker you can often find yourself reacting to a crisis rather than taking proactive actions for your clients There are many features of Broker s Ally that were designed to help you to be a good watch dog always reviewing the status of products and people and in short being an excellent account manager Specialized Sales Support Functions Under the View menu you will find many scheduling and list generating features to aid your sales campaign efforts The pull down menu depicted below describes each of these functions As you can see in addition to the normal Activities Calendar that you use on a daily basis to conduct your business there are four types of attack lists under Campaigns that you can use to support proactive marketing campaigns File Edit Yiew Portfolio Mail Tock Web Window Help Find Contact Ctrl F leg ajoj smee niel Add Contact Ctrl C v i Quick Add Contact Activities Calendar Schedule Activity Sales Planner V Call Lists Action Lists Campaigns Group Lists Maturity Lists Figure 49 Pull Down Menu showing sales and account management campaigns Attack Lists There are four categories of lists you can create for your sales and account management campaigns For example you may want to creat
82. Fields 17 32 User Fields 33 48 e Additional Phone Number Fields Added unlimited fields for adding more phone numbers such as beeper cellular multiple home and office numbers and fax and telex numbers e Household Relationships For tracking other contacts within the economic household such as associates brother brother in law business partner estate father father in law grandparent nephew niece omnibus sister sister in law amp their address background income education and retirement e Track Important Life Events Field for key events such as address switch anniversary auto purchase birthday child birth distribution divorce job change mortgage payoff promotion real estate buy recognition award religious occasion retirement salary increase sports event wedding etc e Contact Screen enlarged Widened the contact screen format to enable storage of more data and information and added functionality e Notes Categorization Added ability to organize the notes based on their content in categories such as contact compliance personal investment operation and others in order to improve understanding e Notes Access Control Added ability to set control of access to notes such as private semi private public access e Notes Expiration and Printing Dates Allows the user to set a date that a note and action expires or is printed e Help File Expansion Help file expanded to describe new functionality in
83. Format Page dialog in allows you to format the page layout for all pages in a document These settings control the printer margins and the width of the default tab Letter Writer Format Page Tabs 0 59 Paper Size Width 8 00 Height 10 27 Margins Bottom fi Figure 163 Format Page dialog Format Color When you select Format Color from the Letter Writer menu you can change the color of the selected text Unlike the Format Text option you cannot change other font attributes The Color dialog shows the standard Windows colors 166 Font color E ee Ce Cancel Figure 164 Format Color Dialog Format Bold When you select Format Bold from the Letter Writer menu you will change the bold attribute of the selected text Unlike the Format Text option you cannot change other font attributes with the Format Bold option This is a shortcut method for bolding text Format Italic The Format Italic option changes only the italic feature of the selected text Format Superscript The Format Superscript option raises the vertical position of the selected text within the current line spacing Format Subscript The Format Subscript option lowers the vertical position of the selected text within the current line spacing Search The Search dialog enables you to find multiple occurrences of any combination of characters ina letter When you type text in the Search for field the Search button becomes enabled p
84. M Broker s Ally Customer Management and Portfolio Reporting For Investment Professionals User Manual for Brokerage and Banking S Scherrer Resources Inc INFORMATION TECHNOLOGY SOLUTIONS htto www BrokersAlly com NOTICE The software is provided under a license agreement and is protected by copyright It is unlawful to copy any of this proprietary software through the use of magnetic tape disk or any other medium for any purpose other than the user s personal use for the life of the copyright Information provided in this document is subject to change without notice Broker s Ally is a trademark of Scherrer Resources Inc Copyright 1985 2011 Scherrer Resources Inc Manual Printing February 2010 SOFTWARE LICENSE AGREEMENT Use of this software indicates your acceptance of these terms and conditions 1 LICENSE You have the non exclusive right to use the enclosed program The single user program can only be used on one computer at a time to manage the specific business pertaining directly to you the licensee You may not distribute the program to anyone else The local area network LAN version of the program may only be used on one LAN at a time provided that you have a licensed copy of the software for each computer that can access the software on the LAN You may not modify the program without prior written consent from Scherrer Resources Inc 2 PROPRIETARY RIGHTS You agree to take all necessary step
85. Mail Merge 196 Figure 203 Sample letter SHOWING merge codes nn0nnnnn001nnneonrnnnnnnornnnnernnnnrennnnrnernnnenrnrenenneeen 197 Figure 204 Securities Masten EE 201 Figure 205 View of files within Broker s Ally shown from Windows Explorer 213 219 INDEX A About Broker s Ally 194 Accelerator keys 18 Access to Info Configuring Users 83 Accomplish Activities Calendar 124 Account Number 99 Report 135 Actions List 134 Activities Report 135 Activities Calendar 120 Daily View 36 Monthly View 37 Schedule Activity 124 Summary View 38 Using 124 Weekly View 36 Activity Alarm 35 Conflict 34 Description 34 Duration 34 Type 34 Add Contact 98 Users 83 Add Create a Sales Plan Sales Planner 127 Address Labels 137 Report 135 Address Page Contact View 99 Agenda Contact s 120 Alert Schedule Activity 35 Alert Preferences 89 Alerts Using 43 Apply Sales Plan to a Contact Sales Planner 128 Apply Sales Plan to a List Sales Planner 129 Arrange Icons 185 ASCII 65 220 ASCII import functions 208 Asset Classes 144 Assigning Broker Numbers 84 Associate Links Links 118 Attack Lists 48 Auto Install CD 26 Automatic Save 86 B Backing up 22 Backup and restore program 20 Billing Time 178 Bold Letter Writer 167 Book Page Contact View 110 Break Link 118 Broker Numbers 83 Assigning 84 Configuring Users 83 B
86. RESS ADDRESS BESTTIME BIRTH BIRTHS BIRTHDAY CARRIERRTE CINTERVAL ETY COMMENT COMPANY COMFURL COUNTRY CREATE x Figure 71 Choose Brokere Ally fields to export in ASCII format When exporting securities the order of fields is Symbol Type stock bond etc Description Pricing Service Price Price Multiplier Income Multiplier Share Multiplier Income Last Edit Time minutes from midnight Date when Priced Maturity Date Last Edit Date The multipliers are used internally by Broker s Ally to calculate totals Broker s Ally Export You may export from one Broker s Ally data source to another or you may export to an unregistered data source that can be transported to another computer and merged with one of its Broker s Ally data sources 66 You can copy data from one registered Broker s Ally data source to another by selecting a target data source in the To Data Source list box All other list boxes are disabled because the file name and directory information are already known to Broker s Ally When exporting data to diskette exporting contacts related notes and postings the diskette will hold approximately 300 to 400 contact records When creating a list for exporting you can limit the number of contacts exported In order to move data from one computer to another you should export to an unregistered data source as follows 1 Under To Data Source select lt Export gt 2 Enter a file name for the co
87. S Address Hotes Interests een elds Bion Sec Agenda Figure 103 Add Contact Account Number You can enter several fields of descriptive information on the Address page The first and most logical is the Account number This field can be used to link the Contact record to other parts of the 100 Broker s Ally system such as the Portfolio and download systems The Account number is a free form alphanumeric field that will accept virtually any form of identifier up to 16 characters in length Owner The Owner field designed for tracking what advisor is assigned to specific clients is used in network installations to restrict a user s access to certain contact records If you put a broker number or User ID into this field only the users who are assigned this broker number can access this record The system administrator assigns Broker Numbers to each user via the User ID dialog on the Edit menu Last Contact The Last Contact field contains the date when you last contacted this individual Broker s Ally will update it automatically each time you contact an individual using the Dialer You can use this date to select individuals for follow up Rating You can use the Rating field to specify a quantitative i e 1 10 or a qualitative e g cold warm hot sales pipeline rating or funnel position for each prospect and client The key is to establish a rating system that is meaningful to your business before you enter large quantities
88. S INC Last Contact f r Emai Ower E EE Se Data Source IReeGNNNG Address RI Pottstown Plke status Lead Rating f Dates City Eag State Jpa Zip 19480 County f Carrier Route IT No Mail i om REE Phone Nurmbers Addresses Fax ES Comments f 4 Address Notes Interests Uzer Fields Book Page Agenda Close Foom Figure 16 Multiple Contact Screens 18 Contact Records Adding Contacts This is the time to gather together all those dog eared business cards small bits of paper memo notes and your office Rolodex Select View Add Contact and then enter the desired information Notes The note pad in each contact record allows you to capture a mini transcript of each conversation or meeting Every note is date and time stamped You can accumulate an unlimited number of notes User Fields Flags and Interests There are forty eight 48 fields for each contact record that you can set up to further identify a particular record with information unique to your business These User Defined Fields are useful when sorting and gathering records into groups for a particular action You can also assign your own meanings to as many as 28 Interest check boxes Flags contain key search or identifying words for database sorting Book Page The Book Page provides for the entry and review of a contact s security transactions The number of transactions Broker s Ally can store is limited
89. TACTS 24 Misi x a Calendar Ctrl E Account Name Mr amp Mrs Scratch Pad Armstrong MD j ee WS Gei ra s 1173 4250 2nd Name POA Joe Smith ven Date 4721 71995 aana a aa aa aa MGR Kenneth Armstrong Company jusa INVESTMENT SERVICES Last Contact 671 i95 Owner el Data Source Address fi 06 Monroe Drive Status lead Suite 100 Rating Prospect Database Carrier Route T No Mail n m Work fai 4 555 1212 ext Home 414 434 7097 ecords Alt Phone 608 626 2260 ext Fax Save Calls 0 Contacts 0 Tue Mar 18 1997 02 07PM MGR Sales scripts viewer Figure 173 Tools Menu The Tools menu provides access to several utility functions including the Phone Dialer Stopwatch Calculator a simple date Calendar Scratch Pad and the Sales Script viewer Broker s Ally for Windows uses the standard Windows Calculator Please note that the Calendar tool is unrelated to the Activities Calendar 11 1 PHONE DIALER When you select the Phone Dialer from the Tools Menu the Dialer dialog appears If you have highlighted a suitable phone number in the current window the dialer will automatically dial that number for you assuming you have a modem installed and properly configured For example if you highlight a phone number in a contact record and select the Phone Dialer from the Tools menu or press its hot key F9 the number will appear in the
90. TFOLIO LEVEL 9 1 Transactions 9 2 Book Page 9 3 Ledger View 9 4 Securities 9 5 Reports CHAPTER10 MAIL MENU 10 1 Letter Writer 10 2 Marked Letters 10 3 Marked Notes 10 4 Group Letter CHAPTER11 TOOLS MENU 11 1 Phone Dialer 11 2 Stopwatch 11 3 Calculator 11 4 Calendar 11 5 Scratch Pad 11 6 Sales Scripts 11 7 Palm Pilot Interface CHAPTER12 WEB AND WINDOW MENUS 12 1 Web Menu 12 3 Arrange Icons 12 4 Close All 12 5 Open Window List CHAPTER 13 HELP MENU 13 1 Index 13 2 Search 13 3 Using Help 13 4 Financial Terms Glossary 96 139 153 162 175 184 188 153 160 162 172 173 174 175 178 178 180 181 181 182 184 185 186 186 188 190 191 192 PART 3 APPENDIX APPENDIX A APPENDIX B APPENDIX C APPENDIX D APPENDIX E APPENDIX F APPENDIX G APPENDIX H APPENDIX I APPENDIX J APPENDIX K APPENDIX L APPENDIX M APPENDIX N APPENDIX O MAIL MERGE WITH MS WORD ODBC SUPPORTED DATABASES MARKET DATA CONNECTIVITY SYSTEM SPECIFICATIONS COMMONLY ASKED QUESTIONS SUPPORT PLUS PACK SIGN UP ALLIANCE PARTNERS amp VENDORS TELEPHONE TRAINING SERVICES DATA MIGRATION METHODS CREATING MAPS BENEFITS OF BROKER S ALLY PALM PILOT CONNECTIVITY NETWORK INSTALLATION PROGRAM FILE STRUCTURE PRICING TABLE OF FIGURES INDEX 195 199 200 202 202 204 205 207 208 209 210 211 212 213 214 216 220 195 PART1 INTRODUCTION CHAPTER1 OVERVIEW
91. TION CALL aj k History oy oom Calendar Format Activities for C Daly C Weekly C Monthy fe Summary ei ES hace sl Close Figure 126 Activities Calendar Summary view 124 rh Using the Activities Calendar You can access and use the Activities Calendar in different ways For example you could call it up from the View menu and view all the calls and actions to be performed today Click on a particular activity to select it and click on Zoom to call up the contact view for that individual Then you can dial a telephone number or perform any other function appropriate to a found record Alternatively you could select an individual contact via the Find Contact option on the View menu and click on the Agenda button The system will show only your activities associated with that individual By clicking on the History check box you can view completed activities You could farther limit the calendar display to merely Calls by selecting Calls from the Activity Type scroll box If you want to see if your associate Ellen had ever called this individual and you have been given access to her data you could click on her User ID in the Activities For scroll box and look at the history of her calls to this contact In addition to viewing Calls or Actions you can Add Edit Delete or Accomplish them When you select Add or Edit the system displays the Schedule Activity window If you select Delete the system deletes the highlighted call or act
92. This Broker s Ally user manual is divided into three parts Part 1 contains an introduction and user s guide to Broker s Ally Part 2 contains a feature by feature reference section and Part 3 contains supporting appendices This chapter contains an explanation of the essential features required to get up and running with Broker s Ally We will first describe where to find help in Broker s Ally how to read this manual how to install and setup Broker s Ally and finally give you a quick tour of its features Please note that we have included a special chapter for those of you who are converting from a previous release of Broker s Ally Chapter 3 is a quick start manual describing how to perform your regular Broker s Ally processes in the Windows environment Chapter 4 is a special reference section for those who are new to Windows It describes the Windows interface and how to work the program Part 2 is a complete reference manual for Broker s Ally listing each feature in the order it is found in the Main menu It groups similar features and functions together In some cases it might be easier to use the index to find a particular topic The reference section is labeled by the command name assigned to the feature but the index contains many logical synonyms The Appendices located in Part 3 contain technical details common questions and answers and some information on the advanced features of Broker s Ally 1 1 PRODUCT SUPPORT The first sou
93. Value 22 390 00 cort Ord View 5 tu T ti HANE DEE 590 00 ort Order ew Security Transactions Cash 24700 00 eee i A z g V l C h T t Buying Power ZHP OO Dr CTT le as ransa OT Purchase H zl zl Sale Income Doing Trades Expanded Methods Address Notes stock Split Book Page Agenda Sane Imi Shanes Wut Cash In Cash Out Short Sale Closing Purchase Figure 113 Transaction Dialog 113 BB Robert Adams i ae GE Ioj sl Security Quantity Price Mkt Value Damdl oss AT amp T Corp ZU DU 1O0000 00 IBM 100 45 90 HO DU DD DI Owner J05 Internet Capital Grol Mortel MWetworks Cor IF Cas Scurce D ate Select Ta Lots for Sale Security JICGE Quantity PO Records 3 Price Hr Eier ee Interest T Eo Dave t Value bikt Gamdloss Commission lo A Clase Cash Fees jo Securities Buying Power gt Total 750 Cancel Reference Number Address H Description Figure 114 Tax Lot Selection for Sales 7 3 QUICK ADD CONTACT The Quick Add Contact function differs from the Add Contact function as follows 1 You can pre define the default entry for one or more of the contact fields This allows you to speed up data entry when you enter contacts with common features such as company city and state 2 After you click the Add button a new Add Contact window appears You proceed immediately to enter the next contact Howeve
94. a sales assistant that supports multiple brokers or a manager that supervises multiple brokers This permits the user to see the records and activities for all brokers they support or supervise Before you can assign a broker number you must first create it by clicking on the Add Broker button You can then enter a broker number As you add broker numbers they appear in the list of available broker numbers in the Configure User dialog and will be selected highlighted for the current user To assign broker number s to another user click OK to return to the User ID dialog Select a different User ID click on the Configure User button to bring up the Configure User dialog While holding down the Cirl key click on as many of the broker numbers in the scroll box as are applicable to the selected user You may also add additional broker numbers Note The list box in the Configure dialog supports multiple selections Hold down the CTRL key while selecting entries with the mouse You can also drag the mouse while depressing the CTRL key to select a group of adjacent entries Privilege Levels You should assign each user a Privilege Level which is a set of rights to enter specified areas of the program and perform selected operations For example you can control who can change User ID information who can change certain fields in contact records who can view the posting book etc Initially there is one Privilege Level Level 3 which has all r
95. a specific contact If the contact record has no data corresponding to a merge code that stands alone on a line the line will be deleted Merge Codes AC Account number AD Address block This merge code will compose a multi line address block composed of Address1 Address City State Zip and Country It will create no empty lines and it should always be left justified AP Alternate Phone number AX Alternate phone Extension CN Company Name DT Current Date FN Formal Name such as Mr Jones FP Fax Phone number HP Home Phone number LN Long Name such as Mr and Mrs John J Jones Jr NN Nick Name If there is no entry for Nick Name in the contact record FN will be used SN Second Name UN User s Name Your name the name belonging to your login ID See Setup User IDs WP Work Phone number WX Work phone Extension When you change a template and click on Save As you can save it under the same or new name To create a new template similar to an existing one edit an existing template and enter a new name in the Save As dialog 106 Printing a Quick Letter The Print Quick Letter command is available on the Contact menu when you are viewing the notes page for a contact Use this command to send the currently displayed Quick Letter or note to the default Windows printer Broker s Ally will reformat the Quick Letter to fit the dimensions of the print a
96. ales Plan Add then enter a unique description into the Plan Name field While viewing this dialog select Add then enter the Activity information For more information on the Schedule Activity dialog see Schedule Activity section in this user manual Enter Plan Data Plan Name Seminar Plan Activities o Target Activity Description Type Days For Create List of Attendees ACTION Mal Invitation Letters ACTION 2 MGR Make Follow up Calls CALL H MGR Secure Seminar Hoom CALL 4 MGA Edit b Delete Save PELE Cancel Figure 130 Steps in a Multi step Sales Plan Activity For You can assign the activity to another Broker s Ally user by selecting a User ID from the Activity For scroll box By default the activity will be assigned to you Contact Shows the Sales Plan associated with the Activity You cannot edit this field Description Enter a statement describing the purpose of the activity The Activities Calendar Contact s Agenda Alert Ally alarm system and history will be much more useful if you take the time to enter a description Type Initially Broker s Ally recognizes two kinds of activities CALL and ACTION You can select one of these from the scroll box or enter a new activity type such as MEETING at your discretion Further Broker s Ally remembers your previous entries for Type of activity and allows you to quickly select one of them By default Broker s Ally inserts CALL into the Type field Days From S
97. allow you to create and select among existing Broker s Ally databases It also allows you to import and export data from and to other programs The Global Change function allows you to change information over an entire group of contacts or the entire database The Download option specifically imports security prices into Broker s Ally or security transactions to the Broker s Ally posting book The Print Setup option gives you the ability to choose the print device port connection and output options you want to use with the Broker s Ally Letter Writer You can preview a letter on the screen with the Print Preview option or print it directly to a local or network printer by selecting the Print option The Reports function has a separate and distinct Print Setup Print and Print Preview controls Page Setup allows you to setup the page layout within your letter writer This item is only active when you are using the Broker s Ally Letter Writer The Exit option closes down Broker s Ally 5 1 NEw DATA SOURCE The New Data Source option allows you to create a new Broker s Ally data source essentially a new database A data source consists of many individual tables or files but appears to the user as one single database In this section we will explain how Broker s Ally creates data sources and how it manages these databases While most software programs are extremely limited in the number type and configuration of its data files Broker s Ally is des
98. ally select activities assigned to you Once again click on the Add Filter button to bring up the Search Logic window 10 Select AND in the Continue Previous Statement With group 11 Select Activities Activity For User from the Field combo box 12 Select Equal to from the Operator combo box 13 Enter your User ID assume Xyz for this example in the Value field 14 and click OK On returning to Edit List dialog the Search Properties Criteria displays Activities Type Equal to CALL AND Activities Activity Date Less than or equal to lt 3 13 17 AND Activities Activity For User Equal to Sort Properties You have finished building the select statement and now you must create a sort statement Press the Add Key to bring up the Search Logic window You now build a logic expression utilizing contact and activity fields to construct the sort statement For example suppose you want to sort the Calls list mentioned above by Last Name Simply select Contacts Last Name from the Field combo box and click OK On returning to the Edit List dialog the Sort Properties Criteria displays Contacts Last Name lf you construct a sort statement with several clauses the clauses will always be ANDed Working with a List Once you have created a Calls List you can scroll through the list and make your phone calls To see the full contact record for a member of the list select a list entry and click the Zoom button If
99. an selecting a command from amenu For example you can call up Find Contact and Add Contact typing Ctrl F or add a contact by typing Ctrl D Accelerator keys are displayed on the menus next to the associated commands Using Help Broker s Ally has an extensive context sensitive help system You can call for help at any time by either clicking on the Help menu option or by pressing F1 If you press F1 Broker s Ally will usually display a specific help topic appropriate for the current window If you select Help on the Main menu you can go to the table of contents search through a list of topics read instructions on how to use the Help system or look up a topic in the Financial Terms Glossary Different views As described above Broker s Ally can display multiple views or several windows at the same time If you are displaying one contact s data and wish to refer to another contact you do not need to close the current contact window Instead simply Find the second contact and Broker s Ally will display the second contact in a separate window You can move from one window to the other simply by clicking on the window you wish to activate Alternatively you could use the open windows list on the Window menu to select a window by name Be Broker s Ally Network Portfolio Yersion 2 19 for Scherer Resources Inc File Edit View Portfolio Mail Tools Web Window Help Account 2nd Name LEU Open Date Company SCHERRER RESOURCE
100. and you should check here often for resources you may need in your business practice ce Broker s Ally Portfolio Version 8 16 for Jim Scherrsi File Edit Contact View Portfolio Mail Too Web Window Help Quick Web Access to Brokers lly com r WA Brokers lly Com A i IA E3 Era ry Ally Software e Support G d i Broker att Figure 182 Internet Access from Main Menu Extensions Quick connect to BrokersAlly com BrokersAlly com Web Portal The BrokersAlly com web portal provides you with valuable information only a fraction of which is related to the Broker s Ally software This rich information site is a portal into Wall Street and is a collection of information organized by categories such as Market News Commentary Practice Improvement Clearing Firms Broker Dealers Mutual Funds Research Organizations and others You can also read information about the Broker s Ally product line and obtain ordering information Broker s Ally e Support from the Internet This is the site for help desk servcies and to read content online or use e mail to reach a team of qualified help desk technicians This area is called Broker s Ally Software e Support Be sure to include your name and serial number when you request e mail Support services 12 2 Window Menu The Window menu offers a variety of controls for manipulating the window display on the screen Broker s Ally allows you to open and leave open as many wi
101. aphs by clicking and dragging your mouse The entire paragraph defined as any text lying between hard returns or paragraphs will be reformatted with the selected alignment Bold Italicize Underline amp Strikeout Text The Bold Italicize Underline and Strikeout buttons toggle their respective features on and off for the highlighted text If the highlighted text contains a mixture of both states e g both bolded and unbolded text clicking on the associated button will first move the entire selected text to one state and then to the other Therefore you may have to click the button twice to obtain your desired result Single One and a Half or Double Line Spacing Select Single One and a Half or Double line spacing to set the amount of space between the lines of the selected text Superscript amp Subscript The Superscript and Subscript options move the selected text up and down a half line respectively Show Paragraphs The Show Paragraphs button toggles the display of the paragraph marker at the end of each paragraph as well as other non printing characters The Letter Writer inserts a paragraph marker each time you enter a hard return by pressing the Enter key Text Color You can change the color of the selected text by clicking on the Color button Changing the color of text will have no affect unless you have a color printer Letter Writer Ruler Below the Letter Writer toolbar there is a horizontal ruler and tab bar for showin
102. ary button to see all of your activities listed in chronological order If you highlight an activity and go to one of the other views you will see the same activity in a different context If you double click on an activity you will display that contact s record As an added convenience you can also get a summary of Historical information by clicking the History check box on the screen To move to a specific day select the Calendar Icon located at the bottom of the Activity Calendar window double click on a different day and the selected day will be presented You can quickly print your Activities Calendar by pressing the Printer Icon located at the bottom of the Activities Calendar window o Activities Summary Wed Dec 25 1996 1171571996 1171571996 1171571996 1171571996 1171571996 1171571996 1171571996 1171571996 471471997 CALL MEETING ACTION MEETING ACTION MEETING Avis Bauman Betty Baker David Wagner Irvin Amann James Bergkoetter Julie Berland Kenneth Armstrong Shirley Bamberger Stephen Bishop Wayne Barber Jack Tripp Edward Jackson Harry Peters Harry Peters Diane Black Diane Black Buttons and Controls Add Use this button to schedule a new activity Edit and Delete These buttons are active only when you select highlight an activity on the Calendar You can edit or delete the selected activity Sweep Follow up to Matlin Follow up to Matlin Follow up to Matlin Follow up to Mam Follo
103. ary flexibility in choosing selection and sort criteria for lists this dialog seems a little complex when you first encounter it However you build all expressions using plain English phrases You define Search Properties to select contact records and Sort Properties to establish how to order these records Then when you Close the dialog Broker s Ally creates the list and presents you with a number of contacts that meet your specific criteria 40 Edit List Calls for the next 7 days HGR Search Criteria Filters Activities T AND Activities Activity Date Between and Including gt 4 12 06 1996 1 AND Activities Activity for User Equal to MGA Sort Criteria Keps Activities Activit AND Contacts Last Name ASC KE E Delete Key wo Figure 41 List Creator Search Properties Click on the Add Filter button to bring up the Search Logic window You will build a logic expression utilizing one or more database fields to construct the filter for selecting contact records You can use the fields in one or two of the following files contacts activities histories or postings For example suppose you want to build a Call list for everyone having a scheduled CALL activity dated March 13 1997 or before You will select contacts based solely on activities information 1 Select Activities Type from the Field combo box 2 Select Equal to from the Operator combo box 3 Enter CALL in the Val
104. ash deposit for a specified period of time at a fixed rate of interest Commission In Broker s Ally this number is entered when opening a position or making a transaction and tracked in a commission table Fee charged by a broker for executing the purchase or sale of securities Common stock One of the standard securities types a unit of ownership in the assets of a corporation Convertible security Handled in Broker s Ally as normal equity or debt upon conversion it generates a transaction A corporate bond or preferred share that may be exchanged for a stated number of shares of the corporation s common stock Coupon rate The rate of interest on a bond expressed in Broker s Ally as a percent and stored in the securities file Current yield In Broker s Ally this is the annual return on a bond computed by dividing the annual coupon rate by the market price Current yield equals the coupon rate for bonds purchased at par and exceeds it for bonds purchased at discount CUSIP Committee on Uniform Securities Identification Procedures The standard identifying number for each security which is held in the Portfolio System securities set up file Tracked alongside of symbol as a unique means of identifying the security In the case of a security that has no symbol such as a bond the CUSIP number is entered in the symbol field Dividend Broker s Ally does not track dividend payments along with the underlying security Howeve
105. atch as many characters as you enter For example if you enter Sm in the last name field Broker s Ally will return all contacts with a last name starting with Sm This obviously would include Smith and smyth as well as Small It would not include anyone with the last name of Protoplasm Note that Broker s Ally is not case sensitive when matching patterns Once you have found one or more records Broker s Ally displays the results in a contact view window described below In general you will use the Find Contact window frequently to find a particular client or prospect or to create a list of clients or prospects having common features Once you have found your desired contacts you can view edit and browse among them Next to the contact window you will see a Contact List displaying all the contact names meeting your search criteria You can use this contact list to scroll through and zoom to another contact that appears on your list 98 ES Edward Jackson Wiel ES CONTACTS 39 IL x D Name M IE DIS Edward J Jackson Account rm a 1126987456 Jnd Name Jannet Smith Assistant Open Date Wo A389 Owner De 02 Company BAKER WATTS FRANKEL Last Contact Bau 204 e Data Source Address a Pennkey Avenue Status Client Suite 100 Prospect Database Country Carer Route No Mail Records 39 Work 654 985 9632 ext Home e54 789 6589 Alt Phone 654 865 9746 ext Fax 654 1 23 6541 pE Comments Do not
106. ate a Mailing list choose a form letter and perform a merge print operation with the Letter Writer addressing the letters correctly using the names and addresses of contacts within the group list The result is the same as choosing the Merge option from the Letter Writer menu discussed on page 170 You could also use a different list such as a Calls list from the View menu and select Mail Merge from the List view The end result is the same whether you use a Call List Action List or Group List all the selected names will merge into a single letter and print in a single batch When you select the Group Letter option Broker s Ally displays the Mailing List dialog Choose an existing list or create a new one Click on the View List button and click on Mail Merge to bring up the Letter Writer s open file dialog After you select a letter and click on Open Broker s Ally will merge print a letter for every contact in the mailing list lf No Mail is checked in a contact record the contact is ignored during the merge print operation This feature allows you to avoid creating duplicate letters or labels for individuals with more than one contact record You can turn off this feature by selecting Ignore No Mail in User Preferences 174 CHAPTER 11 TOOLS MENU o Broker s Ally Portfolio Version 6 51 for Gregory S Walters File Edit View Portfolio Mail WE HOE Ge Heel Si gin Calculator Chal f Kenneth Armstrong Me x E CON
107. ating a toolbar you can later select the Normal toolbar without changing the toolbar contents However if you create a normal toolbar and switch to large format you may see some blank buttons This is because you only have half of the toolbar selections when choosing the large toolbar selection Toolbar Setup The Toolbar button activates the Toolbar setup dialog With this dialog you can create your own toolbar of selected icons The dialog consists of three scroll boxes The top scroll box contains your current selection of buttons The bottom two boxes contain the inventory of available button icons and list of actions You can associate an action with an icon by first clicking on the icon on the Available Buttons list and then click on the action you wish to assign to it To add the new icon to your toolbar click and hold the left mouse button on the icon in the Available Button list drag it to the Your Toolbar list and release the mouse button You may add as many icon buttons as you wish up to 64 or limited by your ability to remember their meaning To remove a button from your list click on it To reset the default meaning associated with each icon click on the Reset button The toolbar appears as a single line under the main Broker s Ally menu mm RE ER Toolbar Cour oolbar 13 G l ea ce l Cancel Help New data source Reset Figure 93 Toolbar Setup Dialog 89 Alert Preferences You have two
108. ation desired appears release both keys and you will switch to the application of your choice This is often faster than Alt Esc as it does not need to redraw the screen for each application before you make your selection Exiting an Application When running multiple applications you can exit a single application by selecting Exit from the File menu double clicking on the Control icon at the top left of the program s window or pressing Alt F4 when the application is active If you select any of these options while the Program Manager is the active application it will shut down all active applications and close Windows When you are running multiple applications or when an application displays multiple windows it is often easy to become confused as to which control button or menu applies to which window or application It takes some practice to resolve this confusion Just be careful that you are pointing to the correct icon or menu choice before you click on it 56 PART 2 REFERENCE CHAPTER A FILE MENU File Edit View Portfolio Mal Toole Web Window Help New Data Source Database Operations d ODBC Settings TAP Settings Page setup Erim EFE He EESEN Print Setup Ev Figure 61 File Menu The File menu contains four fundamental operations 1 Database selection and manipulation 2 basic settings for the default Access database ODBC and TAPI 3 Print operations and 4 program Exit The database options
109. ator or by typing the numbers on the keyboard Next enter the multiplication operator again by clicking or typing followed by the second number 3 Finally enter the equals sign by clicking or typing Note the Enter key is equivalent to the equal sign The result 456 will appear in the display window If you make a mistake entering a value you can click on the Back button or press the BackSpace key on your keyboard to remove a single character To clear the entire entry click on the CE Clear Entry button or press the Esc key You can string multiple operations together by simply entering the desired operator followed by the number 178 Note Be careful when mixing operators that you enter them in the proper order to achieve your desired results 1 2 3 evaluates to 7 and is not equal to 3 3 Calculator Ra Edit View Help RS GESEIS wl es e sl el eat sl oong Figure 176 Standard Windows Calculator You can use the Clipboard to move data to and from the Calculator via the Copy and Paste options from the Edit Menu Ctrl C and Ctrl V If you need to store an intermediate value use the memory functions M memory Clear the memory Retrieves the value in memory and enters it into the display Saves the value in the display to the memory Adds the value in the display to the value in the memory and stores the results in the When a value is stored in the calculator memory the letter M appears in the upper right und
110. ay the bondholders a specified amount of interest and to repay the principal at maturity A secured bond is backed by collateral an unsecured bond debenture by the full faith and credit of the issuer Broker s Ally can track them as either bonds or debentures Bond rating Estimate of the financial strength of a bond issuer made to advise investors of the risk of default The ratings issued by Standard amp Poor s Moody s Investors Service and Fitch s Investors Service range from AAA down to D in default bonds rated B or lower are considered speculative Broker s Ally tracks bond ratings in the securities file within the Name as in Springville Municipal BBB Buy In Broker s Ally the default buy is a purchase of a security and the corresponding sale of cash from the portfolio Call An option to buy 100 shares of a certain security at a specified strike price within a given period of time maturity or expiration date Handled in Broker s Ally as a security type Covered call transactions can combine cost basis with the underlying security by assigning the same lot numbers Callable bond In Broker s Ally handled as a normal bond When called a bond called transaction is generated A bond that may be redeemed by the issuer before the maturity date Certificate of deposit CD A security type in Broker s Ally handled as a short term bond Its asset class may be defined as cash A receipt issued by a bank for a c
111. call between 1 4pm Interested in Long Term Close ZS re Address Hotes Interests User Fields Book Pag Agenda Figure 102 Contact record with Contact List to the Right Edward Jackson Rapid Find If you enter an exact value in the Last Name Account or Owner fields you will find a contact or contacts much more rapidly For example if you are looking for contacts named Smith enter Smith not SMITH in the Last Name field of the find contact window You must enter the name exactly as it appears in the database same characters and same case in order to take advantage of the rapid find technology then press the Enter key or click on find Broker s Ally automatically capitalizes the first character for you The Account and Owner fields also support rapid find if you enter an exact account number or exact Broker Number These three fields use a database index but the rapid find process only works when your entry exactly matches the information in the database 7 2 ADD CONTACT Broker s Ally displays the New Contact view when you select View Add Contact from the menu The New Contact view consists of five separate pages accessed by clicking the left mouse button on the associated button at the bottom of the view The left most button and initially foremost screen is called the Address Page and is displayed above As the name implies this screen contains the basic client information including address Additiona
112. ce files a security master file and investment trade and or transactions into Broker s Ally The Delete Data Source option allows you to remove a Broker s Ally data source and all its unique 60 associated data files from the system It does not remove common data files e g Activities or History from the system unless you are deleting the last available data source Finally the Maintenance option rebuilds database indexes for a selected data source a handy option used if your files become corrupted through damage to the hard disk drive Import You can import data from several sources The ASCII Loader also known as a CSV file importer which is available only in the Gold version and above of Broker s Ally accepts information in a standard ASCII format American Standard Code for Information Interchange The Broker s Ally v5 x upgrade loader copies data from a BA database while the Broker s Ally v6 x loader copies data from another Broker s Ally v6 database and so on To bring data into Version 9 from version 8 or from version 7 select the appropriate Import utility from the dialog Go to Database Operations on the File menu and select Import from the popup menu To Data Source Import Type Asch Loader Broker s Ally Data v6 Broker s Ally Data wr Broker s Ally Data yo Test Figure 65 Import dialog ASCII Import Gold Network and Portfolio only CSV File Import Broker s Ally accepts data from an ASCII file i
113. clude securities maturing between oa 71994 and Du 9 1994 Figure 53 Selecting maturing securities 3 10 COORDINATE YOUR OFFICE INTO A WORKGROUP A network version of Broker s Ally allows many people to use the database simultaneously This insures that every person in your office has access to the constantly changing contact information Such a system avoids confusion and facilitates accurate information exchange between the members of your staff The network version features password protection restricted user access and shared resources Additional users can be added to your network by contacting your Broker s Ally sales representative at 484 875 1710 50 CHAPTER A WINDOWS FEATURES This chapter is designed to give those of you who have never used Microsoft Windows a brief introduction to its features and controls Microsoft Windows is a powerful graphics based operating environment for your personal computer Its function is to act as an interface between the underlying operating system and you the end user Many programs including Broker s Ally have been specifically written to use the Windows interface and its graphical features and controls Broker s Ally is designed to run on Windows 95 98 2000 ME XP Vista Win7 and beyond Microsoft Windows like the Apple Macintosh is an icon driven system Instead of requiring you to remember and type clumsy text based commands Windows presents all your command options as menu choices
114. cluding search and glossary functions including descriptions of new version features 25 e Auto Install CD Created fast and automatic installation routine to install Broker s Ally on a hard drive from a CD drive without added commands Gold Level Feature Improvements This section describes the detailed features added to the Gold Level of Broker s Ally e Sending e mails Broker s Ally now allows you to send e mail using your installed e mail software and retain the contents of the e mail message within the contacts notes e Fulfillment Exporting Created fulfillment house export function which enables a custom programmed connection to your mailing fulfillment house E Robert Adams miei Account Mame e d be EL bs hu end Mame Catherine Adams wife Open Date ae Compariy Leg Contact 12 31 1996 Owner pwos Address 503 Jackson Lare East Status Client Hie Ge E Rating f1 O00000 Dates City Brentwood States DV Zips 37027 Country f Carer Route T Wo Mail et E ol gebr New Data Fields added Phone Mumbers Addresses Save Comments Family with 3 children 3 Clase Met at Investment Seminar 1992 Address Notes Interests User Fields Book Page Agenda Figure 22 New Fields for e mail contacts important dates amp addresses e Palm Pilot Interface Created ability to load Broker s Ally information into the popular Palm Pilot pro
115. corresponding mailing labels or envelopes That s all there is to it Note It is possible to mail a letter to a selected group of contacts by using the Group Letter option from the Mail menu See Group Letter in the Mail Menu chapter Mal Tools Web Window Help Coby leles Marked Letters Delete Delete All Mark For Close select all VM Marked for MGF Hunt Letters Labels Envelopes Report Figure 119 Marked Letter Dialog for Mailing Links Broker s Ally allows you to create Associate or Household links between individual records in a data source By linking records you can rapidly move among related records in the same data source You can use the Make Link command to create a connection to another contact record or records You can display linked records jump to one of the linked records and destroy links between records Tom Bob Kathy Patricia Frank Treadmill Abelson Worth Smith Tompkins Figure 120 Linked Contacts 118 Associate Links Associate links are used to reference other professional contacts that are associated with this person such as accountants or lawyers representing a client or people who have been referred by the same individual As a convenience when you copy a record the new record is automatically linked to the original contact using an associate link When the ait button appears in the contact window found under the data source dialog window you have a
116. ct in order to totally automate this phase of the download Pershing stores client name amp address information in a free form data block PERSHBA6 attempts to identify all relevant components and load them into appropriate Broker s Ally fields For example it must load the individual s last name or custodian s last name into the Broker s Ally LastName field It must locate the Zip code and load it into the Broker s Ally Zip field Etc We cannot guarantee success in all situations thus you may have to manually revise some client records in Broker s Ally following a download For more information about the Pershing Download module please contact the Pershing representative for the hardware and software requirements for InfoDirect Docking Transfer Use this feature to load data to your portable notebook computer that is temporarily docked at the network port After you check the Docking Station option in User Preferences you can download all of your data from the Main data source located on the network file server to your local computer This allows you take your laptop PC home and continue using Broker s Ally Select Docking Transfer and Docking Download from the File Data Operations menu to copy your data from the file server to a dBase data source on your PC After you disconnect your PC from the network you can work with the copy of the network data source which will now be located on your local hard drive You may subsequently use
117. ct the Contact option the available items are merge fields for the contact record If you insert a merge field the field name will be replaced by the corresponding data for each contact during the merge process Most contact fields are available as merge fields Furthermore there is a special merge field for a contact s full name called FULL NAME The NICKNAME merge field will substitute Salutation Last Name e g Mr Jones if the NickName field is empty in a contact record The COMPANY TITLE 2 Name ADDRESS1 and ADDRESS2 merge fields are called ghost fields because they will vanish if no data is available when the letter is printed A ghost field and more importantly the line it occupies will disappear in the absence of data to fill it However if any other text or merge fields share a line with a ghost field an empty space will replace the field and the line will remain in the letter Date When you select the Date option the available items are MM DD YY MM DD YYYY NNNNNNNN DD YYYY 9 28 2004 9 28 04 September 28 2004 Items 1 through 3 are three different styles of date merge fields When you print a letter containing one of these merge fields the current date replaces the merge field For example item 1 produces a result like item 5 item 2 produces a result like item 4 and item 3 produces a result like item 6 when you print the letter Items 4 through 6 display the current date whatever it happens to b
118. ctivities history and marked letters You might use this command to move a contact from a prospecting data source to your main data source or move a contact from your main data source to a data source of inactive contacts Move Contact To Data Source Cancel Figure 117 Move contact dialog Broker s Ally asks you to identify the target data source which must be different from the current data source as in Test data source shown in the Figure above Dial The dial option prompts you to select the Work Home or Alternate phone number and then dials the number via the computer s modem You may also use one of the accelerator keys to bypass the menu When viewing a contact type Ct r1 w to dial the Work number Ct r1 H to dial the Home number or Ct r1 A to dial the Alternate number Furthermore there are buttons on the Address Page for dialing each of these phone numbers Mark a Letter There are two ways to send a letter to a particular contact You can choose to create and send a Quick Letter discussed above which allows you to quickly write and send a single letter to the currently displayed individual Alternatively you can mark the current record to receive one or more existing letters usually form letters associated with the Letter Writer You can generate these letters in bulk which greatly facilitates mass mailings To mark the current record to receive a particular letter you must have already created and saved
119. ctivity and pressing Edit Edit the activity and press Update To delete an activity from your Sales Plan highlight the activity and press Delete Once you have created you Sales Plan press Save Copy Sales Plans can be copied and use it as a building block for additional sales plans Press Copy and your sales plan will by copied to another file The Broker s Ally will automatically give the plan a name of copy of XYZ Plan Click on the Edit button to redefine the plan and modify it for a new purpose Apply Sales Plan to a Contact 1 Once you have found the contact to whom you wish to apply a sales plan select View Sales Planner Apply Sales Plan Brokers Ally will display the sales plans that you have created 2 Select the start date of your plan 3 Highlight the plan you wish to Apply and press OK Your plan has been applied to that contact Apply Sales Plan Fa Entered By MGR Contact Stanley Adams Plan EChent Review 6 Month Gathering Assets Top 100 High Growth Weekly Contact Prospecting 101 Prospecting 102 Seminar Planning Cancel Figure 131 Select Sales Plan to Apply to Group of Contact Records 129 Apply Sales Plan to a Group List Once you have created your Campaign List click on File Database Operations Global Change 8 Choose a Broker s Ally data source in which your list exists 9 Check List and choose the List Type 10 Click on the Plan button in the Add section
120. cts to appropriate clients 9 Increase Fees Helps to increase assets under management and corresponding fee billing opportunities 10 Increase the Value of the Business Practice Helps to increase the market valuation of the business practice itself buy increasing all the valuation measures of the business practice 210 APPENDIX L PALM PILOT CONNECTIVITY Palm Pilot Data Synchronization Utility Broker s Ally contains a utility to support the data synchronization features built into the Palm Pilot to move data back and forth from Broker s Ally Gold Level and above and the Palm Pilot device It is compatible with Palm Pilot Ill V and VII To utilize this function users must have the Hot Sync Manager version 1 1 2 0 2 1 or 3 0 and above that comes with the Palm Pilot Desktop software installed Broker s Ally utilizes the most current synchronization tools for the Palm Pilot The way the Palm Pilot hot sync works is described in the User Manual that comes with the Palm Pilot To use the Palm synchronization utility first install the Hot Sync Manager Then in Broker s Ally select Tools Palm Pilot Sync Options and click on the button labeled Install Palm Pilot Address Conduit in Broker s Ally Select the data source you wish to synchronize Place the Palm Pilot in the hot sync cradle and press the sync button The Broker s Ally sync utility will synchronize the data between the Palm Pilot address book and the Broker s Ally contact
121. d Portfolio aluation Summar i Labels Realized Gain Loss Ge Posting Book Unrealized Gain Lozs Directory C BA6 IT Enable Printer Setup List Type Actions Preview Cancel Disclaimer Help Figure 138 Portfolio Client Reports Portfolio Broker Reports The Commissions and Securities by Symbol reports are carried over from the Standard and Gold versions of Broker s Ally The following reports appear only in the Portfolio version Large Positions shows up to 100 of the largest open positions for all users sorted by Market Value All data sources are included in the report which provides Security Description Symbol Quantity Market Price Market Value and number of Accounts Portfolio Rank shows up to 20 of the largest open accounts belonging to the current user sorted by Market Value All data sources are included in the report which provides Account number Name Rating Market Value and Data Source where the account is located Securities by Type lists securities sorted by type You may select a specific security type and or enter a list of Symbols to limit the scope of the report Place a comma between Symbols in your list The report shows the Symbol Description Price and other information Transaction Schedule shows all transactions for contacts the user has access to in a specified date range Shows Long Buys Short Buys Long Sells Short Sells in date order For each transaction we provid
122. d at the bottom of the dialog allow you to merge names into and print letters labels envelopes or produce a report utilizing data in the contact records of every person displayed The Letters button will merge and print Marked Letters The Envelopes or Labels buttons will merge and print mailing labels or envelopes for each letter The Report button will print data into a selected report format using the Marked Letters List of contacts You can delete individual entries with the Delete button or delete the list that is currently displayed with the Delete All button The Select scroll box allows you display the entire list or just the contacts for a particular letter Initially the Select scroll box shows all and the list box displays all of your marked letters for all contacts You can choose a particular letter in the scroll box in order to display only the contacts to whom you assigned this letter Some users like to print one kind of letter in a single batch change stationary in their printer and print another kind of letter as a second batch The print commands operate on the contents of the list box After you have printed the selected marked letters you can click on Delete All to remove the people from the marked letters list Be sure that you have printed the necessary labels or envelopes before you delete marked letters list because this group is not retrievable again 10 3 MARKED NOTES Marked Notes is a handy feature for creating
123. d click on Next 3 On the second screen select a Broker s Ally Data Source and either The Whole Database or A List From Broker s Ally The Whole Database merges every contact in the Broker s Ally data source with the document you will create They will be sorted in alphabetical order by last name A List From Broker s Ally merges every contact in an existing Broker s Ally list with the document you will create They will be printed in list order 4 lf you chose a list select a type of list and a particular list on the third screen 5 Click on Finish to create an empty mail merge letter document You will see the document in Page Layout view mode You may wish to select Normal mode from the View menu 6 Insert a merge field for the current date near the top of the page Select Insert from the menu click on Field click on Date and Time and click on Date In the Field Codes edit box enter MMMM dd yyyy after DATE Way 09 1995 gSA LTATIOH FIRSTHAM E LasTH ANE g TITLE et CUMDGNYs ep DDRESS1s ep DDRESS 2s CITY 5TATEs AIP COUNTRY Figure 203 Sample letter showing merge codes 1 Click on Insert Merge Field on the tool bar and select SALTATION the first salutation field from the list Repeat for the other Broker s Ally merge fields as shownFigure 2 Further down the letter you will add a greeting Type in Dear and follow with SALTATION and LASTNAME merge fields using Insert Merge Field 3 Type
124. describes Broker s Ally terminology To keep ambiguity to a minimum for you and your sales assistants we have described below how Broker s Ally handles various investment tasks and terms Please refer to this list if you wish to have complete understanding of the way in which Broker s Ally uses specialized terms to define actions Account In Broker s Ally the account represents a single account at a brokerage firm trust company or bank etc A contact may have multiple accounts and an account may have multiple contacts associated with it As in a brokerage or advisory firm the owners of an account are shown in the registration block on the contact screen Account Executive In Broker s Ally this is tracked as the broker number Also known as the Registered Representative advisor or the manager or owner of the account Annuity Security Type in Broker s Ally that is an insurance contract paying at regular intervals Appraisal A report or opinion of value about the investment portfolio made by an expert based on facts and professional judgment Also depicted as Portfolio Valuation Detail Report Associated Contact The contact associated with an account Association For Investment Management and Research AIMR One of the performance reports to appear soon in Broker s Ally The AIMR Portfolio Performance Presentation Standards are a set of guiding ethical principals intended to promote full disclosure and fair representation
125. ditional maps are 1000 each and each additional day on your site is 1200 209 APPENDIX K BENEFITS OF BROKER S ALLY Benefits of Using Broker s Ally Here are some benefits users have derived from implementing the Broker s Ally portfolio management sales control and CRM system for investment advisors sales assistants and sales managers 1 Longevity of Relationship Capturing detailed client and prospect information will help secure a positive client relationship for a longer period of time 2 Enhance other offerings and cross selling Use of Broker s Ally helps to increase penetration of all products being offered 3 Compliance Satisfaction Supports consistent targeted and measurable behavior of account representatives and their assistants with note taking and audit trail reporting 4 Increase Productivity and Sales Revenue Helps to support more productivity and efficiency in all daily operations 5 Better Trained and controlled Teams Helps to ensure all advisors and assistants work in a well defined path following their strategic plan 6 Increase Assets Under Management Helps to uncover hidden assets by the use of structured data gathering and client questioning and profiling 7 Open More Accounts Helps to increase sales pipeline conversions from status of lead to a qualified prospect then on through to the client status 8 Do More Trades Enables reps to profile customers and target marketing appropriate produ
126. duct to enable users to review contact information on their portable Palm device Interface connectivity specifications are found in the appendix Palm Inc manufacturers of the Palm Pilot 26 p Robert Adams Mon Apr 09 2001 5 36 PM Origin MGRA Had discussion regarding tas planning and asset allocation for the upcoming year Send information via e mail with Broker s Ally Include tn Activity Function Records 3 r Save EE E E Cloze Quick Ltr Mark Review Date Delete Spell ME EM 2 Compliance New Fields Added Address Notes Interests User Fields Book Page Agenda EE Figure 23 Notes Page Expanded New fields to categorize notes send and store e mail Access Semi Private Portfolio Level Feature Improvements This section describes features added to the Portfolio Level of Broker s Ally e General Ledger Added a holdings general ledger cash ledger and the ability to track both transactions and positions and to manage alternative accounting and trade methods such as LIFO FIFO and average cost e Expanded Securities Descriptors Added the ability to track CUSIP number and the Description extensions of securities Corresponds to Interactive Data Corporation format FT IDC 27 KS Robert Adams es Security Quantity Price Mkt Value Gain Loss SE AT amp T Carp Jo000 O00 56385634 IB hi 100 95 90 9590 00 590 00 Owner LC Internet
127. e CIT COMPANY COUNTRY me COUNTRY CREATE DEPT Cancel FAxXPHONE FIRS TNAME Help Figure 168 Insert dialog Table When you select the Table option you will be presented with a dialog window which will ask the number of columns and rows you would like Merge The Merge menu item on the Letter Writer menu brings up the Mailing List dialog After you select an existing list or create a new list Broker s Ally prints the current letter for each contact in the list filling in the merge fields appropriately 170 lf No Mail is checked in a contact record the contact is ignored during the merge print operation This feature allows you to avoid creating duplicate letters or labels for individuals with more than one contact record You can turn off this feature by selecting Ignore No Mail in User Preferences Spell Check select Spell Check from the Letter Writer menu to check the document for misspelled words If no misspelled words are found Broker s Ally displays the message Spell Check complete otherwise the Spell Check dialog appears The Spell Check dialog provides suggested replacements for the misspelled word and a default Change To entry You can choose to Change the misspelled word Ignore the suggestion or if it is a valid word Add it to the dictionary The Ignore All option causes the spell checker to ignore the suspect word for the remainder of the document The Change All option causes the spe
128. e and Maturity Date Unrealized Gain Loss This report shows open positions for selected ranges of Open Dates and Close Dates in each contact s posting book Leave a date range blank to ignore the constraint For example you might enter a date range for Open Date but certainly leave the date range for Close Date blank The report will include every open position within the Open Date range It details Quantity Symbol Open Date Open Price Open Amount Cost Gain Loss and Gain Loss It totals all numeric fields at the bottom of each contact s report Note The Unrealized Gain Loss report depends upon current prices for the securities to calculate Gain Loss You can also restrict the report to certain Ticker Symbols 138 CHAPTER8 amp PORTFOLIO LEVEL The Broker s Ally product is feature differentiated and these features are encapsulated within levels the Standard Gold Portfolio and Advanced Portfolio Level each has a distinct feature set built up from the lower level This section describes the Broker s Ally Portfolio level feature set The Broker s Ally Portfolio Level is a powerful portfolio management system designed to support the sales process of retail brokers and investment advisors Whereas for example traditional portfolio software might create a Portfolio Valuation Report the Broker s Ally Portfolio System can do this and go further to rank portfolios based on value and then contact clients through campaign list mana
129. e Schedule Activity dialog which is accessed through the View menu Alternatively you can access the Activity Scheduling dialog through the Agenda button on the Contact s record 3 The Action For field will automatically be set to your User ID so that this activity will appear only in your Activities Calendar If you select a different User ID the activity will appear in that person s Activities Calendar who is in your work group Similarly the Entered By field will automatically default to your User ID and will register who entered the activity 4 Description Enter a short description in the Description box of what you want to accomplish 5 The name of the contact will appear automatically in the Contact field 6 Select the Type of activity Call or Action You can even create a new activity type by manually entering an appropriate name such as Meeting Remove the information in the Type field and enter your desired information 7 Date and Time Broker s Ally automatically enters tomorrow s date and the current time You may change the date and time If you double click on a date field or the time field and choose your selection from a popup calendar or time You can also click on the light bulb icon for more information on entering the date and time 8 Duration To schedule a block of time for an activity enter the length of time in minutes Duration is useful only when you have specified a time for the acti
130. e a list of all people in a Zip code range to call upon or possibly a group of people whose bonds are maturing First you should identify the type of Activity you wish to pursue such as Calling Action execution or Maturity review Select one of these list categories create the list and then attack it Four Groupings of Contacts from your Database for Targeted Campaigns e Call Lists a list or many lists of contacts that you can approach to sell or market new products or services using the telephone as the main tool e Action Lists a list or many lists of contacts for whom you have a certain action in mind For example you might create a list of your clients who own a certain stock that you wish them to sell e Group Lists alist or many lists that you can create comprising groups of clients who might share particular characteristics such as an interest in new offerings and mutual funds e Maturity Lists a list or many lists of clients who have bonds or other products that are maturing on a specific date as specified in the security setup This is a handy way for brokers to keep track of these people and see the contact record take notes and make calls 48 Shown in the figure below is the Attack List calling list created by selecting contacts from the database using selection and sorting criteria Available List s Data Source s database Refresh List Figure 50 Sample Calls Campaign List Click on V
131. e bas All files ending with bas are scripts Setup Files Bawing ini Initialization file for setting configurations Adata ini Data Initialization file for configurations Definitions Defs dat Definition files for User Fields Interests etc Data Files ALLYWIN MDB The Main data file Reports Pxporval rpt Portfolio Value Report Reports Anything rpt All reports have rpt exension Error Messages Imperr txt Text file listing error messages on data import Readable Text Readme txt File for you to read to tell you about new features Folders G ga IC l T Acrobata H Adobe C Adobeapp Ggs America Online A 2 C AOL Instant Messenger H Bafplan ay bumudoc d Chevy ef ComputerPrevtlly com HS Dmi ig Liv Docs H Epems _ LapLink Professional J My Download Files Appnitmnt bal Banksvcs bal el Birthday bal el Client bal E Discount bal el Dontdait bal el Example bal el Funds bal el Getwell bal el Goodjob bal el Graduate bal el Holiday bal el Mistake bal el Money bal el Mots atistied bal S47 5EB Application 17KB Application 22KB BAL File 4KB BAL File AED BAL File ZER BAL File FEB BAL File SKB BAL File BEB BAL File 4KB BAL File 2KB BAL File 4KB BAL File KBE BAL File 4KB BAL File AP BAL File SKB BAL File BAL File 10727701 10 29 AM Terga 10 49 PM 1 44 95 744 PM 876 97 11 50 AM 17495 7 44 PM 174 95 2 4 PM of 6 o 11 46 AM 144 95 7 49 PM 07697 11 53 AM r697 11 49 AM 144 95 7 50 PM a697 11 5
132. e data in at the keyboard Single PC Installations Please insert the CD in your CD drive and follow the directions that appear on the screen During the Broker s Ally installation you will be asked several questions pertaining to your specific computer setup Personal information the directory you wish to use ideally C ba9 and other tips The installation program is found as x setup which you can run from the Windows Start menu if automated installation fails for some reason Support by Phone and e Mail Should you have further questions please contact the support group at 484 875 1705 support BrokersAlly com or Fax at 484 875 1704 212 APPENDIX N PROGRAM FILE STRUCTURE This section describes the structure of files within the program and is provided to assist you or your technical team with more advanced configuration and trouble shooting tools In addition this table shows you the names of the data files that are the focus of your data backup and restore process Presented are the file name its extension and purpose While not all files are listed the most commonly used main program files are identified Category Name Purpose Program File Bawin exe Main Program executable file Letters Appntmnt bal Letter within the Broker s Ally Birthday bal Happy Birthday letter BAL Anything bal All files ending with bal are letters Quick Letters Thanks baq All files ending with bag are quick letters Scripts Badtim
133. e text we shall write the request as follows type the phone number in the phone field lf we want you to type a specific word or text command we will show the text to be typed in a mono spaced font as in Type setup lf we want you to use a specific keystroke we shall write it as follows then press F8 or then press Enter When we write press Alt F3 we mean that you should hold down the Alt key and press the F3 key When we want you to use your mouse we will instruct you to click or double click on a menu selection icon control button or other object By this we mean for you to move the mouse until the mouse pointer is located on top of the item to be clicked and then pressing and quickly releasing the left mouse button Double clicking simply means to repeat the click twice in rapid succession Occasionally you will be asked to drag an object Here you must place the mouse pointer on top of the object press and hold the left mouse button while simultaneously moving the pointer to the new location When you arrive at the new location release the mouse button to insert the object o When we want to emphasize a paragraph that applies to the network version of Broker s Ally we a t print the following icon in the margin 1 3 ABOUT BROKER S ALLY Broker s Ally is a full featured broker and advisor productivity system specifically designed for investment managers With Broker s Ally you can track clients and prospects in
134. e the Date Quantity Symbol Cost Proceeds Account number and Name of the account Client Portfolio Reports The Posting Book Realized Gain Loss and Unrealized Gain Loss reports are carried over from the Standard and Gold versions of Broker s Ally The following reports appear only in the Portfolio version Bond Maturity Distribution shows Market Value by maturity year of open bond positions belonging to a user You can select a date range for this report which is based on any list of clients you choose Portfolio Valuation Detail shows all open positions grouped by security type for each client in a list Information provided Quantity Description Total Cost Open Price Market Price Unrealized 141 gain loss Total portfolio Income and Yield If you have used Portfolio Setup the security types for this report will be taken from the Asset Classes list and presented in the same order Portfolio Valuation Summary shows combined open positions for each security type for every client in a list Information provided Description Security type Cost Basis Market Value Unrealized gain loss Income Yield Total portfolio If you have used Portfolio Setup the security types for this report will be taken from the Asset Classes list and presented in the same order Disclaimer Message Broker s Ally gives you the ability to enter a message that can be embedded into any client report A standard example of using this feature
135. e when you pull up the Insert dialog as static text strings They are not merge fields If you insert one of these items into your letter it will appear exactly as you see it and it will never change Document When you select the Document option the Open Letter Writer dialog will appear with the New button disabled When you select a document it will be inserted into the current letter at the insertion point 169 Page When you select the Page option the available items are 1 Page Break which forces the beginning of a new page 2 Page Number a merge field that will be replaced with the page number when the document is printed User When you select the User option the available item is merge field for the name of the current user of Broker s Ally and default user information See User Preferences Picture When you select the Picture option you will be presented with a insert picture dialog window You have the ability to insert picture in the following formats e Windows Bitmap BMP Tag Image File Format TIF Graphics Interchange GIF Windows Paintbrush PCX TARGA TFA e Windows Metafile WMF Graphics can also be added via the Microsoft Windows Cut Copy and Paste routine You can preview your selections by checking the Preview check box D ktterwrter Insert i as e Contact ADDRESS ADDRESS C Date BEST TIME Wer BIRTH a BIRTHS C User BIRTHDAY CARRIERRTE i Document CIN TERYSL Pictur
136. e with the following options e Selectable date range e One or more contact accounts households e Subtotals by month quarter year account security security types asset classes security sub types Performance Vs Index The Advanced Portfolio Level provides the ability to compare the performance of an account against an index In order to provide this information the new asset type of Index has been added The user can associate this asset type with a security to indicate that the security is really an index Prices can be entered into the database associated with this security to correspond to the value of the index on given dates With this data the system can calculate the performance of the index and use that in its comparisons Commission Allocation The Advanced Portfolio Level provides the ability to track the allocation of commissions on a per trade basis Commissions can be allocated to the house another firm and individual salespeople or whoever desired This is important when third party products such as mutual funds or annuities are sold by an advisor On the View Ledger dialog there is a button called Allocate Commission which when clicked brings up the Trade Allocation dialog for the selected trade This dialog allows the user to enter up to six commission allocations Allocations can be a dollar amount or percentage of the total commission 161 CHAPTER 10 MAIL MENU o Broker s Ally Portfolio Version 6 51
137. ea of the screen and quickly press and release the button twice Drag amp Drop Position the mouse pointer and press the button without releasing it Then move the mouse pointer to a new location before releasing the button Upon release of the button whatever is being dragged will be moved to the new location 52 4 3 RESIZING WINDOWS As described Windows allows you to display windows in one of three states Maximized Minimized or Resizable Maximizing a Window Le JI You can resize a window to its maximum size either determined by the work area of window s parent window or the desktop depending on the type of window by clicking on the Up Arrow located at the top right of the window If a window is of fixed size the sizing arrows are not displayed Minimizing a Window 01 To prevent the windows screen from becoming cluttered with open windows you can temporarily minimize a window By minimizing windows you keep the screen display more organized without having to terminate active applications An appropriate icon represents the program or window To minimize a window click the Down Arrow located in the upper right corner of the window Resizing a Window When a window is Maximized you can reduce it to a Resizable window by clicking on the Double Headed Arrow Tile and Cascade The Tile and Cascade options on the Window menu allow you to systematically resize all active windows The Cascade option on the Window menu will a
138. eeting with you and should you have any questions or if for any reason there is a change of plans please call me sincerely OWNER Financial Consultant z E Line 23 Column 1 Figure 158 Letter Writer Window The Letter Writer window lists the name of the current letter in the title bar If the Letter Writer contains a new document that has not yet been saved the document will be assigned the temporary name LetterX where X is a sequence number assigned by the system You can open as many letters as you desire up to the memory limit of your computer You can cut and paste between letters using the Edit menu and you can switch between letters by clicking on the corresponding window or using the open window list on the Window menu The main editing region is bordered by a horizontal ruler that displays inches a vertical scroll bar and a horizontal scroll bar It has a tab bar that displays the left margin and tab settings and a toolbar for controlling the text in the window Broker s Ally provides various sample letters with the Letter Writer 163 Exit To close a Letter Writer window double click on the system box in the upper left corner of the Letter Writer window or select Exit from the Letter Writer menu Letter Writer Menu The Letter Writer has its own menu You will find the following options oe Broker s Ally Portfolio Version 6 51 for Gregory S Walters File Edit RACH View Mail Tools Window Help cose FILLY de
139. ege level restrictions found in User ID Configure User but does not change New Data Source Import or Export rights The default for this option is always on or checked You must have the Login right to change this setting Activity Calendar Preferences The Resolution selection will change the time slot size for the Activities Calendar and Contact s Agenda You can choose between 10 15 20 30 60 120 minutes This selection will show you more or less information in the Daily and Weekly views of the Activities Calendar Startup Preferences When you run Broker s Ally you can choose one of the following initial views in which Broker s Ally will startup e Choose Find Contact to display the Find Contact window automatically when you first enter Broker s Ally e Choose Show last contact to display the last contact you were working on during the previous session For example if you exited Broker s Ally yesterday with the record of John Smith open when you start the Broker s Ally program today you will again be presented with the contact record of John Smith e Choose Activities Calendar to display the Activities Calendar window automatically when you first enter Broker s Ally The Activities Calendar will be presented using the same format selected in the previous session For example if you last used the Activities Calendar in the Summary view when you start the Broker s Ally program today you will be presented with the Activ
140. en use the Calculator program selector to start any appropriate Windows program via the Calculator option For example you could select CHARMAP EXE to bring up the character map insertion program 91 Calculator Ei Look m Windows e 2 All Users _ Cookies Fonts J Aolshare L Crystal Forms _J Application Data _ Cursors Help Catroct Orwatson _ Java Command ESLogs MCBin _ Favorites _ Media Files of type Executable Ples D exe Cancel T Open as read only Figure 95 Calculator Selection Dialog E mail Preference Enter the full path name for the e mail application of your choice You may click the Browse button to look up the application or select one of the suggestions in the combo box Please Note When the directory path contains a long name allowed in Windows 95 and Windows NT you should click the Browse button to convert it to a DOS directory path Press OK to accept the DOS representation Before saving an entry containing long directory names BA will automatically pop up the Browse dialog Interests Setup aTa The Interests button brings up the Interests dialog This dialog allows you to assign the conceptual aLa meaning and text description to each of the 28 Interest check boxes associated with a contact The descriptions that you assign will appear on the Interests page of the Contact view These settings apply to all Broker s Ally data sources and all users of Broker s
141. enne 143 Figure 141 Portfolio Valuation Summary rap 144 Figure 142 Bond Maturity Distribution Report a Client Report 144 Figure 143 Unrealized Gain Loss Report a Client Report 145 Figure 144 4 Edit SCCUNIV VO E 146 Figure 145 Security Types and Asset Classes Geiunp nnne 147 FIGUIS 146 Enler Tiger Ee 148 let IAT BOOK Page EE 155 Figure 148 Sor Order OF Holding LEE 155 Figure TAS Ledger E 156 Figure 150 Purchase dalog NEEN 157 PIGUIE 151 LOLOClOCHON EE 157 Figure 152 USE Specific LOE GIAIOG nescis EE EEE 158 Fig r 153 Security Type dialog BEE 159 Figure 154 lee e e WE 160 Figure 155 Security Pricing dialog AA 160 PIGUEC T96 ER OT EE 162 Figure 157 Open Letter Writer ualog eee 163 Figure 158 Letter Writer le e 163 FOUE TOO Leter Wer MENU seer a a 164 Figure 160 Document INTOrnMation DiQlOG DEE 165 Figure 161 FORMAL RE e Ee e MEET 165 PIQUE 162 Format Paragraph GAO E 166 Figure 169 Formal Page e E ee E 166 Figure 164 Format Color Dialog ccccccccccccccccccesessseeeeceeeeseeaeeseeeeeeesseuaesseseeeeeeeeessaaaseseeeesssaaageseeees 167 FiGUre 169 Search Dial EE 168 FIGURE 1166 4 Se arch E Lee EE 168 FOWE Mov deem E DIAO ME 169 Figure 168 INSert GIalOG EE 170 Figure 169 SpellCheck Dialog BE 171 Figure 170 Letter Writer ToolDa enssins 171 Figure 171 Leter Writer TEE 172 Figure 172 Marked Letter Dialog DEE 173 Figure 173 2 TOOIS EE 175 FOUE 174e PHONG DIAG E 175 Figure 175 Dia
142. er Fields Book Page Agenda hI yi Figure 106 Marked Notes You can print the marked notes on label stock to produce a mailing label as well as a copy of the note See Marked Notes under Reports One label will contain the address while the adjacent label will contain as much of the note as will fit Once the labels have been printed you can read the note to remind yourself about what needs to be mailed and then use the address label to address the envelope In network installations you can even mark notes for other users This feature enables you to place the marked note in someone else s marked note printing queue A marked note displays Marked XXX in the header where XXX is the User ID of the person for whom the note is marked In network installations of Broker s Ally the User ID ensures that the note appears only in the Marked Notes report for the indicated user Quick Letter You can create a template a formatted letter containing merge codes and text for every situation where you want to send a simple short business letter A template is merged with data on the Address Page to create the letter that is placed in the notes database You can edit the letter then print it using Print Quick Letter on the Contact menu Quick Letters are stored with other notes allowing you to review them quickly However you should use the Letter Writer for a longer or more polished appearing letter Select a template and click on Use
143. er for the original 16 types For example you could create the class Equity and insert under it the types stock and option 146 Assign every Security Type to an Asset Class Click on Add Class to create a new Asset Class or click on Edit Class to change the one that is highlighted same as double clicking a class To erase a class highlight one and click on Delete Class To insert a Security Type under an Asset Class heading 1 Highlight an entry in the Security Types list 1 Highlight an entry in the Asset Classes list 1 Click on Insert Type The selected Security Type will be inserted below the selected entry in the Asset Classes list You can remove a Security Type from the Asset Classes list by highlighting an entry and clicking on Remove Type Securty Types and Asset Classes Setup Asset Classes Treasury Bonds bond on Bearer Warrants corporate bond bond government bond bond unit trust municipal bond common stock preferred stock stock Annuitites Annuity Fired Annuity Yarable annuity Escrow Receipts Real Estate gold coins real estate w government bond Letters of Guarantee Add Class Edit Wags Delete lags Add Type Insert lippe Remove Ippe Cancel Help Figure 145 Security Types and Asset Classes Setup Sample Asset Classes and Associated Security Types Equity Stock Option Debt Bond Corporate bond Government bond CD CMO Cash Cash Money market Security Types i
144. er the display 179 Calculator Edit View Help Fe JLo emt Serge sn FE ime JC C td aa ave ame Exp in wl Le Lei Jor Cor Sum sin Lon Le wel 1 2 La Le Lea Le les leal vw JLo JC Je JO Dat tan Les Le ole Js Le JLo LEU Figure 177 Scientific Calculator 11 4 CALENDAR From the Tools menu select Calendar to call up a simple monthly date calendarFigure You can use the accelerator key Ctrl E instead of the menu to activate the Calendar The Calendar displays current month s calendar with today s date highlighted You can change the display to other months using various buttons provided Click on the Close button to remove the Calendar from view Calendar Tool EJ Tuesday March A 1997 Sun Mon Tue Wed Thu Fri Figure 178 Calendar 180 11 5 SCRATCH PAD The Scratch Pad is a special document window that allows you to enter and save text Each user on a network has their own Scratch Pad This Scratch Pad is automatically presented for the user who is currently signed into Broker s Ally Each time you open the scratch pad you will see the same text that was last saved This allows you use the scratch pad to keep miscellaneous information close at hand While the Notepad is linked to each individual contact and displays only notes associated with that record the Scratch Pad is universal and can be viewed from any screen You can use the Copy and Paste options from the Edit menu Ctrl C and
145. erences el ee WEE 59 Figure E New Data S0urce Dial Geerse tcernronr neces 60 Figure 64 Database Operations dE 60 Figure nl elen dialog EEN 61 Figure 66 Map ASCII fields to Broker s Ally fields ccecccccccceeccesssesseeeeeeeeseseeeeeeeeesesseeaeaaseeeseeees 62 PIQUE OF ASG Ee te E 62 Figure 68 Add default data to each contact as it IS iransterred 63 Figure El alen dn Eet pera ee ee nen eee ert nee eee a 64 Figure 70 EXPO DIAO ME 65 Figure 71 Choose Broker s Ally fields to export in ASCII Tomat 66 Figure 72 Broker s Ally export dalog ENEE 67 Figure 73 Download dialog wimdow 68 Figure 74 Global GMANG es dialo EE 70 Figure 75 Global Change Add Activity ccccssesececcceeseseeeecceeeeseceeceesseeeesseausceceesseeaueeeessaaseeeeseaas 71 Figure 70 GIODAILASSION BE etait cceeeccaeaaguactancined inca tans aeancnecenaiaeg clean nan cade aanncaeaeeeades 72 Figure 77 Global Assign Delete Achvities A 73 Figure 78 Delete Data Source Dialog EE 74 Figure 79 Deletion Confirmation Dalog 74 Figure 80 Maintenance Options cccecccccccccccseesecseeeceeeeeeeseeeeceeeeeesaeaaeeseeeeeeeeseseauseeeeesessaaaaseseeeeeeees 74 let AER VOC HIG ME 76 Foure 2 AIST CU ONS aaa ce cn etch acc AAR A eaa ere arae e e eA AS ata eeccircidtcsut ran al Ald 77 Figure 83 Print Setup dialog TOF ue e UE 78 FIJUG OFF EAIC MENU ME 79 FIQUIE 85 e erusin a el eee deena 81 FUSOS PIE oN yee ete ee teeta eee a ern eee eee A 82
146. ermitting you to begin the search If Broker s Ally finds the entered text it is highlighted within the letter You can click on the Search button to find the next occurrence or click on Cancel to stop the search You can fine tune your search by clicking on one or more of the check boxes found on the left side of the Search dialog The Whole Words option limits the search process to matching the entered text exactly If you enter search text such as able it will find the text usable as well as able unless you specify Whole Words You can eliminate the distinction between upper and lower case characters by checking the Ignore Case option By unchecking the Start at cursor position option you can tell Broker s Ally to begin each search at the top of the document You can control the direction of search by clicking on the Forward or Backward radio button 167 Search Search for Kimberly Adams IX Whole words only DN Ignore Case T Start at cursor position Search Direction d Forward C Backward Figure 165 Search Dialog Search and Replace The Search and Replace dialog works exactly like the Search dialog with the added capability of the replacing the search text search amp Replace Search for Broker s Ally Version D Replace with Broker s Ally Version 6 for Windows Whole words only Replace all IT Case sensitive Start at cursor position Direction Forward C Backward Figure
147. errals with the utmost J f w respect and we are looking forward to working together in the future IF g Akik ia you have any further questions or suggestions for me you can reach me SE at Thanks again for the confidence in my efforts and look Send E mail forward to speaking with you soon H Coe New Quick Ltr Mark Beview Date Delete Spell i BR gt Category lt None gt L sl Access lt None gt Address Notes Interests User Fields Book Page Agenda Figure 9 Quick Letter found in the Notes Page As an additional time saving convenience the Notes page allows you to create a Quick Letter and store it within the note pad This is ONE OF THE MOST POWERFUL FEATURES OF BROKERS ALLY For example when completing a client conversation you may wish to write a follow up letter while your thoughts are still fresh in your mind The name and address is automatically presented in letter format for quick access You can set up a variety of templates for your Quick Letters so that you only have to fill in the details Finally you can check the spelling in your quick letter by pressing the Spell button print the letter as well as an envelope or mailing label without moving to another area of the program All of these commands can be found under the Contact Print menu Scratch Pad and Sales Scripts The Scratch Pad and Sales Script Tools are designed for accessing categorical information from anywhere withi
148. es Kinmtz tee EN erly Engineered pF unction for mail house Delete Data Source postal management Eat Maintenance Figure 29 Fulfillment House Export Functionality 30 Back Office Integration Created universal loading tools to migrate mainframe based back office host data for US Clearing Pershing Beta CheckFree APL Fiserv Securities TD Waterhouse Crowell Weedon Chevy Chase and others This functionality offers Timed Data Utilities Timed triggers to kick off data loading and indexing and Auto Shutdown Automated application shutdown for data protection BROKERSALLY COM BrokersAlly com Web Site Portal You will find a wealth of information at your fingertips at the expanded www BrokersAlly com portal for investment professionals Topics addressed there include education and training support 2 2 CONVERTING DATA AND SETTINGS Broker s Ally has a convenient upgrade system that performs two key functions 1 it helps you import your data from previous versions and 2 it helps to migrate your settings and configuration information into the new version 9 You can import your data from Broker s Ally 5 6 7 or 8 to Broker s Ally version 9 The import and conversion process will copy over all User ID information Class definitions User Field definitions scratch pads letters quick letters and user information and will import securities contacts notes and postings When you insert the CD into your CD drive it
149. es contacts activities histories or postings For example suppose you want to build a Call list for everyone having a scheduled CALL activity dated April 1 1995 or before You will select contacts based solely on activities information 1 Select Activities Type from the Field combo box 2 Select Equal to from the Operator combo box 3 Enter CALL in the Value field 4 and click OK On returning to Edit List dialog the Search Properties Criteria displays Activities Type Equal to CALL 2 You can select contacts using contact and activity criteria or contact and posting book criteria but not activity and posting book criteria 131 Edit List Prospecting List HGR Search Criteria Filters Contacts Last Name Greater than hla Add Filter Edit Filter Sort Criteria Keps Contacts Last Hame ASC 4 VI 4 mg Add Key Delete Key Help Figure 133 Edit List Once again click the Add button adjacent to the Search Properties list box to bring up the Search Logic window Select AND in the Continue Previous Statement With group Select Activities Activity Date from the Field combo box Select Less than or equal to lt from the Operator combo box Enter 4 1 15 in the Value field and click OK 2 6 7 8 9 On returning to Edit List dialog the Search Properties Criteria displays Activities Type Equal to CALL AND Activities
150. es radio buttons offer multiple choice options which can be toggled on and off Unlike check boxes however radio buttons are mutually exclusive Selecting one option automatically turns off all other options e Scroll Boxes Scroll boxes present a list of options which may exceed the height of the display box The scroll bar along the right edge of the box allows you to scroll the list of options to display the hidden choices You make a selection from the scroll box by clicking on one or more of the options within the window The Toolbar In addition to the menu options Broker s Ally offers quick access technology in an optional toolbar The Broker s Ally toolbar also has Tool Tips associated with each button When you move your mouse across the button a dialog will drop down to inform you what task the button will complete When you click on one of the buttons on the toolbar Broker s Ally immediately executes the associated command Using the Edit User Preferences Toolbar menu option you can select from among the many predefined buttons and associated commands Your selections are displayed in a toolbar located under the main menu dha 22 Ch EB EH ae Ge ee Figure 15 The Broker s Ally Toolbar with Tool Tips 17 Accelerator keys Some of the most frequently used menu choices have specific accelerator keys associated with them This allows you to quickly invoke the option by pressing the key combination rather th
151. ess on one label and the note itself on the adjoining label Mr amp Mrs John Jones Send information on PXG Growth Fund Include 1234 Town amp Country Road business card and prospectus Apartment 15b Philadelphia PA 98765 1234 Figure 45 Marked Note Report Printed on Mailing Labels At the end of the day the label containing the note can be used to keep track of what the customer is expecting to receive For your convenience the label that displays the customer s name and address can be placed on the envelope for mailing 44 1 The first thing that you will want to do when a customer requests specific information is to type the information into the Notes section of the contact record Mark the note by pressing the Mark button 2 At the end of the day select the Marked Notes option from the Mail menu and print the marked notes on labels 3 Finally use the printed notes and labels to prepare mailings of the requested items ES Kenneth Armstrong Biel ES Wed Jun 21 1995 2 08 PH Onrgin HGAR Marked MGR Account Returned e mail Subject was tax free bonds Called Ken to discuss hi 1173 4250 portfolio and he would like to get into tax free Send information on tax free bonds Owner MGR Data Source Prospect Database Records 74 ARRE Save Close Address Notes Interests User Fields Book Page Agenda Figure 46 Marked Note Screen 3 KEEP TRACK OF YOUR PROGRESS It is important to k
152. et Valued Customer Valued Client Type Meel unspecified Misc unspecified _Information Personal statement or corporate objectives Disclaimer Disclaimer message variable length These merge fields are called ghost fields because they will vanish if no data are available when the letter is printed from the Letter Writer A ghost field and more importantly the line it occupies will disappear in the absence of data to fill it However if any other text or merge fields share a line with a ghost field an empty space will replace the field and the line will remain in the letter Information and Disclaimer You may enter a line paragraph or several paragraphs There is no practical limit to the amount of text you may insert into this multi line edit box When either merge field is printed it will be formatted exactly as you see it here and will always appear left justified in the letter Weekly History Report Goals The Weekly History Report displays the number of scheduled and completed activities for the previous week It also displays goals that you enter in this dialog To enter goals for an activity type highlight the type in the list box and enter the values in the Goal edit boxes These Goals are utilized when printing the Weekly History Report 94 User Information James Wampler Morgan Investment Consultants 1234 Finance Road Suite 120 Philadelphia FA 19234 this field is for merge informat
153. ew all the tips at once by clicking the Next Tip button or you can read the tips as the are presented to you Once you have read all of the tips you can turn them off by unchecking the Show tips at startup box You can always turn the Tip of the Day back on from the Help Menu Tp of the Dag Did you know Broker s Ally will create a future date in a date field if you enter a number tor the number days forward from today F Show tips at startup i _ Close Figure 3 Tip dialog Sales Planner There is a multi step Sales Plan manager incorporated into Broker s Ally The Sales Planner is used to create sales and marketing campaigns for individual contacts or a group of contacts meeting specific criteria You can create multiple Sales Campaigns each having multiple steps and store them for future use The Sales Planner is available in the Broker s Ally Gold level and above Prospecting 101 Prospecting 102 Seminar Flanning Figure 4 Sales Planner Plans User Defined Fields There are forty eight 48 fields for contact records that you can define and set up to store important information unique to your business These User Defined Fields are useful for prioritizing and selecting records to be included in reports group mailings or campaign lists For simplicity we call them User Fields KS Robert Adams Mei EZ Account Marital Status tManred 56985634 Spouse Name Catherine Owner Luz Data S
154. existing file the letter will be saved under the same file name location and file type without prompting you for these selections Save As The Save As option displays the same dialog as Save The subtle difference is that the Save option presumes that you want to save a previously saved file under the same name and location while the Save As option assumes you want to change the file name type or location Document Info The Document Information dialog in the Figure below helps you to store additional information about the letter You can fill in the Title Subject Author Operator Keywords and Comments for the 164 document Brokere Ally saves the Last Saved Last Printed and the Creation dates for the document It only stores Document Information for letters saved with the Broker s Ally Letter file format i e with a BAL extension Document Info Title Theme Lo CtC RKTC iR Author Gregory D Walters Cancel Keywords Written at 08 12 1994 12 38 30 Document Last saving 0170471995 19 44 07 saved with 1 Fe eset printing 08 12 1994 12 47 48 EE Comment This i a general business letter for group mailings Figure 160 Document Information Dialog Format The Format option controls the appearance of the text of your letter and presents a sub menu containing the following options Text The Format Text option presents the dialog that sets all font attributes for the selected text To use
155. field Source The Source Type and Source fields allow you to save information about how the contact came to your attention You might use entries such as referral seminar or previously with as your Source Type Since Source Type is a remembered response field it makes it easy for you to be consistent with the names you use Type specific information into the Source field such as the name of the person who referred the contact the particular seminar where you met the contact or the name of the broker that previously handled this account Secondary Record lf this record is a subsidiary account for the contact you may wish to check the Secondary Record check box User Definable Fields The User Fields page contains 3 frame pages of 16 fields a total of 48 that you can set up for your own special use Each field can contain up to 15 characters of text a number or a date You could create a field for spouse s first name secretary s name income occupation net worth or number of children Once you create a User Field and use it for data entry you should not change its definition Categorizing your clients and prospects involves defining their characteristics in such a way as to at a later date present them with products that are best suited to their needs Creating User Field definitions with labels such as Income Net Worth Objective etc will help you track and manage your clients so they receive the products most
156. for security upper case 2 ticker symbol upper case 3 type upper case S for stock B for bond C for CD M for mutual fund A for annuity or U for unit trust name of security enclose in single or double quotes if the name includes a comma price date when priced in MM DD YY format he ASCII Loader saves your setup file name field map and mixed case option for future use AO os Broker s Ally Version 5 or 6 or 7 or 8 Import Broker s Ally has convenient import utilities that can copy your data from previous Broker s Ally version 5 6 7 or 8 to Broker s Ally v9 and beyond The import utility will bring over all User ID information securities contacts notes postings Class definitions User Field definitions and scratch pads If you have lots of data this can take a long time so please make provision for this needed time 1 Under the File menu select Database Operations From the popup menu select Import 2 Select Broker s Ally v5 x upgrade and click Start 63 Make sure you specify the correct directory for your BAS data files Click OK Go to User ID under the Edit menu select Configure and make sure the All Broker Numbers option is checked 6 For Level Level1 or Level2 users you will have to assign rights because we cannot convert the information in BA5 While in the Configure dialog step 5 select Edit Levels and assign rights as appropriate GE The import process checks the Broke
157. g editing marking and printing help screens Figure 189 Help File Menu Help File The Help File menu allows you to switch to other help files via the open option or to print the current topic Help Edit The Help Edit menu allows you to copy selected text from the current help screen to the Clipboard You can then Paste the text into another document The Annotation option allows you to insert an annotation into the current help screen for future reference File SUS Bookmark Help Copy Figure 190 Help Edit Menu 189 The Bookmark option on the Help menu allows you to define and insert bookmarks with titles of your own choosing The named bookmarks are listed in an expanding list at the bottom of the menu You can move immediately to a named bookmark by clicking on it or by pressing the associated number If you define more than 9 bookmarks they will be listed in a subsidiary scrolling dialog Gegieceliell Help Define 1 Add a Contact Find a Contact 3 Calls Actions Calendar Figure 191 Help Bookmark Menu The final Help menu selection is its own Help menu The first Option describes how to use the Help system while the second option allows you to maintain the Help window on top of Broker s Ally You can then see both the Help window and the Broker s Ally windows at the same time while you are working on Broker s Ally File Edit Bookmark IR How to Use Help Always on Top About
158. g and setting the left indent and fixed tab positions Figure 171 Letter Writer Ruler The wedge on the left controls how far the selected text will be offset from the left margin You can drag it to any location you desire The Figure above shows two tab markers To insert a tab marker click on the tab bar beneath the ruler at an appropriate location You can drag an existing tab marker anywhere on the tab bar or remove it by dragging it off the tab bar 10 2 MARKED LETTERS The marked letter feature is a clever and convenient time saving feature that allows you during the course of the work day to assign unique letters to single individuals one at a time but batch print them all at once The Marked Letters dialog shown in the Figure below presents a list of all letters that have been assigned to one or more individuals via the Marked a Letter option on the Contact 172 menu You can Delete a marked letter or Delete All marked letters from the list by clicking on the appropriate button To Delete a marked letter you must first select a letter from the list box Marked Letters wl John Terrell BUSINESS BAL d Gregory Walters CLIENT BAL Douglas Walters DEATH BAL Delete Susie Walker DONT DOIT D l Kimberly Walters HONEY BAL Delete All Hark For Close etit Select all Marked for HGR Print Letters Labels Envelopes Heport Figure 172 Marked Letter Dialog The Print buttons locate
159. gement While this chapter describes all current features of the Portfolio Version we constantly add new reports and functions as the product evolves thus your version may have slightly different functions than those described herein This Basic Portfolio Version represents portfolios in their current market values while the Advanced Portfolio Level takes this information further to calculate performance and returns on dollars invested Maximizing Broker Productivity The Broker s Ally Portfolio System provides specific tools such as campaign planners and reports of broker transactions large positions and portfolio ranking by market value Broker s Ally creates reports and presentations that can be used as sales tools Broker s Ally supports the BAI Bank Administration Institute and AIMR Association for Investment Management Research reporting standards and the Advanced Level performance reporting meets these standards as well The Portfolio System keeps pace with industry trends by not only allowing the user to track commissions and transaction fees but also assets under management new accounts opened and asset allocations both on a client basis and across all client portfolios Relationship to Broker s Ally Gold Broker s Ally was developed using a building block method one block or level added to the other The four versions of Broker s Ally are Standard Gold and Portfolio Level Most Broker s Ally users will have previo
160. ghlighted and reverses its effects on the holdings table Transaction Type Screens Each transaction type has its own dialog for gathering the appropriate information The following dialog is a sample of the purchase dialog 156 Date Security Quantity Price Post Interest a ae Calculator Commission Fees Total Cancel Held At Helference Number Description Figure 150 Purchase dialog When disposing of shares through one of the sell or close transaction types the user has the option of selecting which trade lots to dispose and how much of each lot Clicking on the LOTS button brings up a dialog where these lots can be selected Lot Selection Date Cost per Share Available Selected 10 30 96 20 00 Cancel Shares To Sell Total Selected Lot Selection Method FIFO C LIFO MaxGain MinGain Avg Cost Figure 151 Lot Selection The list box displays the date price quantity remaining and number selected for this disposal The 5 buttons along the bottom produce a lot selection based upon the method indicated first in first out last in first out maximum gain Minimum gain or average cost If none of these methods are desired clicking on the Use Lot button allows the user to select a specific lot and enter the amount being used from that lot Clicking on the Clear button wipes out all selections made to that point 157 Use Specific Lot Humber of shares to use ID Fi
161. gure 152 Use Specific Lot dialog 9 4 SECURITIES The Portfolio Level now expands the amount of information recorded about securities This additional information includes the price history for each security security sub types CUSIPs descriptions and fields associated with insurance products such as purchase date face amount and expiration date The price history is used for calculating performance for past periods Prices associated with securities are stored in a separate table This allows for the tracking of historical prices that are used in the calculation of historical market values It should be noted that the latest price for the security is also stored in the security record The expanded information stored for different security types requires a different security screen for each security type This has resulted in a different way of displaying and entering securities Security sub types are used for producing reports with securities grouped by industrial sectors The security record is keyed and indexed by an independent security ID field rather than the symbol field However for users moving from Broker s Ally versions previous to version 8 who wish to continue to use the symbol as the key or to use the new field CUSIP as the key the system provides the option to populate the security ID field with either of those fields This is a one time selection and can only be changed by an update process User Interface Changes
162. h options as their names imply allow you to find your topic of interest by looking it up in an index of topics or by searching for it by a key word The Using Help option provides detailed instructions for using the help system The Financial Terms option provides a glossary of common financial terms About Broker s Ally displays a screen detailing the copyright version number and serial number of your installed copy of Broker s Ally lf you want specific help on the current window press F1 If you want to search for a topic use Index or Search on the Help menu 13 1 INDEX The Index option from the Help menu opens the help system in Index mode You can scan through the table of contents of help topics By clicking on a particular topic you will move directly to that topic s detailed description The Help system contains its own menus and toolbar You can switch to search mode by clicking on the Search button You can move back to a previously viewed help screen by clicking on Back You can select from among previously displayed help screen by clicking on History The Contents button displays a Table of Contents for the Help system allowing you to search for a topic by branching from a general topic to a more precise topic 188 Broker s Ally Help Of x File Edit Bookmark Options Help e SH Brake S Ally Fe Em H oP Figure 188 Broker s Ally Help menu The Help system s menu offers several additional options for displayin
163. hat you check Convert to Mixed Case in the ASCII Options dialog 5 To add default data to each contact check Add default data 6 Start transfer with record and Number of records to transfer enables you to transfer a specific number of records at a time 62 SES Cancel Help T Use Defaults for add Contact Interests Owner JIM Salutation hir amp Status Prospect Compariy PO Rating City Philadelphia State pa Zip Country USA Source Type Figure 68 Add default data to each contact as it is transferred We provide a special field Full Name which will accept a contact name in the format Mr and Mrs John J Jones Jr If you map an ASCII field to Full Name we will attempt to identify the various components and load them into the appropriate name fields Salutation 2nd Salutation First Name Initial Last Name Suffix When loading into the Flags field commas should separate your flags You can import one note and or one activity and or one posting along with each contact but you cannot import notes activities or postings separately The loader can only import a note activity or posting if it knows the identity of the contact record You may also use the ASCII Import module to load security information from other pricing service that can produce an ASCII file with the following record information S ALD S Allied Signal Inc 67 75000 05 26 93 where Field 1 must be S
164. he Phone number 97 E Find Contact Name s amp saer iFirst Im ikast wee Account 2nd Hame Open Date Ermat Owner Company P E E thers Data Source Address status f Rating f l Wates Test City State a W zip County f Carrier Route T No Mail Work leg 321 1910 ext a Eppes Le Podlesses Comments f Ca ue Address Hotes Interests User Fields Book Sec eget Figure 101 Find Contact by Phone Number You can also use Flags Interests and User Fields to pull up contacts from the database Each of these is found on its associated page accessed by clicking on the button at the bottom of the Find Contact window For example if you defined one of the User Fields as Spouse s First Name and you remembered only your prospect s first name and that of his wife you could specify the first name field on the Address page and the Spouse field on the User Fields page finding all couples with the matching first names Likewise you could specify a particular Flag or Interest to select contacts When entering data into Find Contact fields you need to know how Broker s Ally uses this information to search the database By default Broker s Ally assumes that you want to match the text of each field you have entered This is called pattern matching An important feature of pattern matching is that you do not have to enter the complete text to get a match Broker s Ally will m
165. he Search Logic window You now build a logic expression utilizing contact and activity fields to construct the sort statement For example suppose you want to sort the Call list mentioned above by Last Name Simply select Contacts Last Name from the Field combo box and click OK On returning to the Edit List dialog the Sort Properties Criteria displays Contacts Last Name If you construct a sort statement with several clauses the clauses will always be ANDed Now click the Close button to create the list Changing a Call List After you create a list its members never change If you add new contacts to your database or schedule new calls an existing Call List will not change However because Broker s Ally saves the list criteria as well as the members of the list you can use the existing criteria to recreate the list i e update the contacts comprising the list Click the Refresh List button in the Call List dialog lf you want to change or add criteria before regenerating the list click the Edit List button to go to the Edit List dialog You can select a line in Search Properties or Sort Properties and click the Edit button to change the logic statement For example you might want to revise the statement AND Activities Activity Date Less than or equal to lt 4 1 2015 to reflect a new value for the date To add new logic statements click the Add button When you Close the Edit List dialog Broker s Ally will refresh the
166. he options Shortcut accelerator keys when available are always listed to the right of the features it represents Pressing these shortcut keys is the same as making the menu selection 4 5 RUNNING MULTIPLE APPLICATIONS One of the principal advantages of using Windows is the ease in which it allows you to run several applications at once You can switch between programs without exiting from one application and loading another Switching between active programs When you are running multiple applications there are a couple different ways you can switch between the programs You can use either the mouse or the keyboard to accomplish this task If several applications are running within Windows and the applications are visible on the screen you can use your mouse to click on the window of the application you would like to work on This makes the application Active lf the desired application s window is not visible on the screen it is covered by the current active application s window you can use the keyboard to switch to the desired application To do this press Alt Esc This will bring each of the active programs to the front one at a time Figure 60 Active Programs in Windows You may also press the Alt Tab The name of the next application will be displayed in a dialog box in the middle of the screen Hold down the Alt key and continue pressing the Tab key until the desired application name is shown When the name of the applic
167. he same Ledger view but with CASH as the security Robert Adams fel ES Security Quantity Price Mkt value Gain Loss SEN ATET Core 56385634 DM 100 45 40 4590 00 540 00 Owner LC Internet Capital Gro 1000 1 50 1500 00 0 00 Mortel Metworks Cor 100 13 00 1300 00 U UU Data Source Records 3 Open Cost 21 800 00 Mkt Value 22 390 00 pave Mkt Gain Loss AS0 00 i Laar 26200 00 Do Lee View Cash Transactions __ Close Buying Power Togos 00 7 3 Expanded Transaction and Cash Ledgers for Portfolio Management Address Notes Interests User Fields Book Page Agenda Figure 147 Book Page Sort Order The sort order for the holdings page can be changed by clicking on the Sort Order button that brings up the dialog show below The field to sort on and the direction of that field can be selected Sort By Direction O Description O Ascending O Quantity E Descending Price gt Market Value gt Gain Loss Figure 148 Sort Order for Holdings 155 9 3 LEDGER VIEW The ledger view displays all of the transactions for the currently selected security Securty lomega Date Action Quantity Price Amount 10730796 Purchase Figure 149 Ledger view Clicking on the Trade button brings up a drop down menu that provides a selection of transaction types The Edit button brings up the appropriate transaction type dialog for the highlighted transaction Delete button deletes the transaction hi
168. he transaction on an individual account in case the account was added after the transaction was already recorded for all other accounts Lot Selection Methods Many sell or closing transactions affect more than one trade lot Instead of entering a sell or closing transaction for each trade lot individually the system supports lot selection methods that allow one transaction to dispose of many lots at once The trade lot selection methods supported and their definitions are listed below Method Definition FIFO First In First Out Lots are selected based upon the trade date of the transaction that created them The earliest lots are selected first If alot is selected as much of the remaining quantity of the lot is used as necessary to satisfy the disposal amount LIFO Last In First Out Lots are selected based upon the trade date of the transaction that created them The late lots are selected first If a lot is selected as much of the remaining quantity of the lot is used as necessary to satisfy the disposal amount High Cost or Minimum Gain Lots are selected based upon its cost per share The highest costs per share are selected first If a lot is selected as much of the remaining quantity of the lot is used as necessary to satisfy the disposal amount Low Cost or Maximum Gain Lots are selected based upon its cost per share The lowest costs per share are selected first If a lot is selected as much of the remaining quantity of the lot is
169. he watch and changes the button label to Start which you may use to restart the clock To close the Stopwatch click on the Close button By default the Stopwatch is placed in the middle of the screen although you can move it to another position or minimize it without affecting the time However closing the Stopwatch will reset it to zero when you reopen it You can use the accelerator key Cirl T instead of the menu to activate the Stopwatch 11 3 CALCULATOR When you select the Calculator option or use the accelerator key Ctrl L Broker s Ally displays the full function calculator that comes standard with Windows You can select either the Standard Calculator or the Scientific Calculator from the Calculator s View menu You can even substitute another calculator program via the Edit User Preferences menu If you have a special calculator that you use for a bond calculator or another calculator program you can setup Broker s Ally to use that calculator program We will discuss the Standard Windows Calculator For more information about the Scientific Calculator see your Windows manual or help messages within the calculator The basic logic of the calculator is Enter the first number enter an operator enter a second number and select the equals sign The result will be shown in the display window For example to multiply 152 by 3 you would enter the first value 152 either by clicking on the number buttons on the calcul
170. hin the database The more clearly you define the text within the User Field Flag Interest and Rating fields the more sophisticated and useful a report you can create 11 Reports Available Reports Type Ge Standard C Labels Portfolio Account Company Activities Company Status Contact Work Sheet Contact Activities 7M ates Contact Notes Dates Status History EI Directory CBAS M Use a List Data Source Test Enable Printer Setup Preview Cancel Deena Help Figure 7 Reports Import amp Export Data If you already have a file of potential customers on a diskette you can import this file into a Broker s Ally database Broker s Ally recognizes several file formats and can import them directly into the program If necessary the import utility will ask you exactly where you want the imported data placed in your Brokere Ally database When importing from other Broker s Ally databases duplicate records can be identified and ignored Records can also be exported to disk for use on other computers or with other applications Auto Dialing Broker s Ally has a fast time saving feature to automatically dial the phone number within a contact record You need to have a modem installed in order to use the auto dialing feature in Broker s Ally When you display a contact s record you can call the contact by clicking on the button next to the phone number you wish to dial If you would l
171. hrough power surges or other sources 1 6 BACKING UP YOUR DATA We strongly advise you to backup your data files on a regular basis 19 Broker s Ally does not provide an internal backup or restore program We suggest using a backup and restore program provided to you by your operating system Should you have any questions or problems with your backup or restore program please contact your product user manual consult your products help system or call your products technical support number that can be found in your manual While the chances are small that your computer will fail and lose data records you must prepare yourself for the worst possible scenario To protect yourself and your business we recommend that you conduct disk backup procedures at the end of every working day Keep several sets of backup disks so that you do not rely on one set At the very least employ two backup sets to use on alternate days Some users have a different backup set for every day of the week You should never backup a damaged database onto diskettes containing your last good T database You might destroy your only means of recovery The Maintenance function found under File Database Operations can rebuild damaged indexes but sometimes data files are beyond repair Although re indexing solves many problems you should not rely upon this Maintenance feature as your only line of defense against data loss Your DataBase In this section
172. iation A portfolio that aims at maximum capital appreciation by various means of portfolio turn over leveraging purchasing unregistered securities purchasing options and other higher risk products This portfolio may take large cash positions Growth A portfolio objective that normally invests in companies whose long term earnings are expected to grow significantly faster than the earnings of the stocks represented in the major unmanaged stock indexes Small Company Portfolio A portfolio that invests in companies based on their size 108 Growth amp Income A portfolio that invests in companies whose earnings are believed to be growing and whose dividends being steady or rising will generate income as well Equity Income A portfolio that seeks relatively high current income and growth of income through investing most of its portfolio in equities Balance A portfolio whose primary objective is to conserve principal by maintaining at all times a balanced portfolio of stocks and bonds Income A portfolio that normally seeks high income and has a specified maximum fixed income commitment and or a maximum equity exposure Global A portfolio that invests at least a certain percentage of its portfolio in securities traded outside the US International A portfolio whose objective is to invest in securities traded outside the US Option Growth A portfolio that attempts to increase its net asset value by investing at least
173. iew List to see the resulting list of contacts You can then click on a contact and press the Zoom button or double click on a contact to display the Address page for the contact From here you can dial the phone number and take notes in the usual manner Heoluecr n Portlets Yemen E Si do Gregury D Walters sO LEM Le Si k LIST VIEWER _Adi Ckenis MGR 2 E saila EE IE mhe KE dt Figure 51 List of people you have Selected ito call i in 1 your marketing campaign Targeting clients with Maturing Bonds and CDs Using the same concept as described above for creating a calls list you can create a Maturity List campaign From the View menu select Campaigns and Maturity List then select the name of the list your wish to use Or to create a new list click on the New List button and enter the criteria for the maturity dates you wish to track 49 be LIST YIEWER Bonds Maturing in February MGR 5 Contacts Pi el FS Steve Christiansen O OOOO S Close zoa Reports Mail Merge Envelopes Check Item Reset Item HR i t Skip Checks Figure 52 Maturity Campaign List When you create a list of client contacts based on the maturity date of their financial products you will see the dialog box below Fill in the range of maturity dates and click on the Create button The Maturity Date for a bond or CD must have been entered along with its other characteristics via the Edit Securities dialog New Maturity List In
174. ights permanently enabled and is always associated with user MGR You may define other Levels with any combination of rights and you give each new Level any name you wish e g Broker Sales Assistant System Administrator To assign or change the rights comprising a Level choose the Edit Levels button in the Configure dialog You can assign a given Privilege Level to many users Edit Security Levels Security Level Rights Cancel i Help Add Level Delete llege Figure 90 Edit Security Level Dialog To enable a right you must highlight it see the note below The manager of a network installation dTa will want to ensure that normal users cannot change sensitive information or perform system level alg operations For example the manager may create a Privilege Level called Assistant with all rights enabled except the following e Delete Data Source e Maintenance e User ID operations Add Edit Delete and Configure operations e User Preferences Interests User Fields and Login settings The easiest way to do this is to hold down the Ctrl key on the keyboard and drag down across all rights to highlight every one Use the scroll bar to locate each item you wish to disable Then while holding down the Ctrl key click on the item to deselect it 85 Note The list box in the Edit Security Levels dialog supports multiple selections Hold down the CTRL key while selecting entries with the mouse You can also drag the mo
175. igned to be extremely flexible and powerful Unfortunately power and flexibility come with one significant price a certain amount of complexity You need to invest a few minutes of your time to understand how Broker s Ally creates and maintains its data files in order for you to fully utilize its features If you are a single user not on a network we provide default setup values to save you time You will however benefit from an understanding of the Broker s Ally data structure 57 Data Structure In Broker s Ally a data source is held within the ALLYWIN mdb file Some files are unique to a specific Broker s Ally data source and some are common to all Broker s Ally data sources For example contact data for each data source is stored in a separate file whereas scheduled activities for all data sources are stored in a common file This allows you to see all activities for the day regardless of which data source the contacts reside in The single user and default network data source configuration is as follows PACUVIIDY seas tests a ts eacreadaaicecal Common AO ae ne Common POO ee ee Common Broker Number Common Lake e Common Marked Letters 2ceeeeee Common Kit Unique Neie Unique leie ations cee Common Remembered Responses Common Securities ege eee Common Hee Se cea lee ee Common User FieldScncrncncn Common The logic for this structure is really quite simple Those files containing data that is uniq
176. ike to dial the work number of the contact just click on Work When the Dialer dialog appears pick up your handset and click on Talk after the number is dialed All calls are tallied displayed on the status bar at the bottom of the screen and logged ina history file for future reference If you do not have a modem installed in you computer you can track your call progress calls and contacts made by using the No Modem feature found in the dialer options Phone Dialer CONNECTED 00 00 05 Number e 0 321 1910 Hptiane Contacted Cancel Figure 8 Auto dialer 12 Notes The Notes page attached to each record allows you to capture a mini transcript of a conversation or meeting Each note is stamped with the current date and time Notes are associated with a contact record and you can accumulate an unlimited quantity of note pages You can track your interaction with a client by reviewing the notes associated with that client s record You can review all of the notes associated with a specific contact on a single page by pressing the Review button Bill Kinney OP x wed Jan 23 2002 11 55AM Ongin MGA B Printect Account January 23 2004 gt l Mr Bill Kinney we Broker s Ally Software i4 Pottstown Pike Eagle PA 19480 Expires Data Source Dear Mr Kinney Include in Activity just wanted to formally sue a thank you for referring me to your Function Recorde 5 associate Gina Torella treat mu chents ref
177. inthe body of your letter You can also use Copy and Paste Edit menu to copy parts of an existing Word document to your new document 4 Save the document The merge fields text and data source information are saved in the document e zl 5 View the merged data by clicking on the View Merge Data tool bar button Click on HI the Next Record button to show other examples of the resulting document Note The Previous Record button is very slow to respond because Word uses an early version of ODBC to fetch the data K 1 Print the merged documents by clicking on Pal the Merge to Printer tool bar button 197 Hints 1 Each time you create and save a mail merge document the data source information is bound to the document To change the data source you must create a new document using the Broker s Ally Mail Merge Wizard However you can save a lot of work in setting up merge fields by copying the name address section of an existing document to your new document If you have any problems with the Mail Merge Wizard please see the Mail Merge Wizard Help found under the Broker s Ally Menu in Word Broker s Ally Mail Merge Wizard Help has tutorials for labels and envelopes as well as advanced techniques for more sophisticated use of merge codes Note If you have difficulty with Word s mail merge consult Word s help system the Microsoft Word for Windows User s Guide or call Microsoft We built the Broker s Ally Mail Merge
178. io data from a special purpose download file It is designed to link your Broker s Ally contact data with your client s financial information from your firm s back office It enables you to link your Broker s Ally files to your current client s portfolio information and update trades prices and positions for you clients as frequently as desired Interactive Data Download IDC The purpose of the Interactive Data download module is to transfer daily security price information from the Interactive Data server to Broker s Ally Security information includes latest price in US dollars price date description maturity date and expected dividend income You must have an account with Interactive Data as well as Interactive Data s DATAFEED software Interactive Data charges you for each security priced through their service To inquire about opening an account call 800 432 5463 and select option 1 In Broker s Ally you mark each security you want to price through this services and select Interactive Data in the Download dialog Broker s Ally also provides the option to price securities for all open positions or every security symbol found in the database Broker s Ally contacts the Interactive Data server either through direct dial to a local service provider or through the Internet fetches the information and updates your security table At the end of the transfer you can inspect the data request file DATAIN TXT the data result file DATAOUT TXT
179. ion To enter the activity into the history file and delete it from your list of activities click on Accomplish 7 6 SCHEDULE ACTIVITY An activity is a scheduled CALL ACTION or some other created type such as a MEETING The Schedule Activity dialog box shown is the primary data entry screen for the calendar system You can display it from the Activities Calendar window by clicking on either Add or Edit You can also call it directly from the View menu If you select it from the View menu or Contact s Agenda when a contact window is active the activity is assumed to be for that contact and his name is automatically entered into the Contact field If you call up the Schedule Activity dialog while you are displaying a Calendar or Agenda view Broker s Ally assumes the call or action to be for the Calendar view s selected date If you call up the Schedule Activity dialog when no contact window is active the activity will be called a REMINDER and is not associated with a particular contact Schedule Activity for Mary Evans Schu E Eor MGR Contact T Check your other activitites for a conflict Alarm IY Activate alarm when activity comes due Alarm Lead 10 minutes Figure 127 Schedule Activity Dialog 125 The activity will be assigned to you by default which means that it will appear exclusively in your Activities Calendar You must assign a time to the activity to have it appear in the Alert database see Ala
180. ion within letter writer this field ts for merge of disclaimer within letter writer ACTION Figure 98 User Info setup dialog 95 CHAPTER VIEW MENU Be Broker s Ally Network Portfolio Version File Edit Yiew Porttolo Mail Tools Web Find Contact Ctrl F GA L al Add Contact Lil Quick Add Contact Actwittes Calendar Schedule Activity Sales Planner Campaigns Reports Figure 99 View Menu This Chapter describes the View menu the core of the program which enables you to find or add new leads prospects or clients Here you also view the Activities Calendar or any of the Campaign lists to manage your sales activities Your core Activities appointment calendar provides you with detailed daily weekly and monthly views or a chronological summary of events to which you must attend To view specialized campaign Call Lists Action Lists Group Lists and Maturity Lists you select Campaigns You can also view and print Reports from the View menu For campaign purposes when you wish to contact a group of people with a similar profile you should create a Group list In this process you will specify the characteristics of the contacts that you want to include in a group and Broker s Ally will create a list of these contacts You might use the Group list to create and follow up a mailing to people holding a specific security within a specific state When you want to create a ca
181. ions and control buttons Broker s Ally also has Accelerator keys associated with many of the buttons or commands Any menu button with an underlined letter using your Alt letter will activate the desired word For example Alt V will activate the View Menu The Menu System The menu is the starting point for Broker s Ally and displays general headings for you to choose When you click on one of these options e g File Edit View a pull down menu will list specific commands or features that you can select 16 File Edit Yiew Porttolo Mail Tock Web Window Help Find Contact Ctrl F d i nje h Add Contact CAD Quick Add Contact Activities Calendar Schedule Activity Sales Planner Campaigns Reports Figure 14 The View Menu Most menu choices send you to a dialog box where you make specific choices or enter information Dialog boxes use a variety of input techniques including e Input Fields Boxes into which you can type numbers or text as appropriate Input fields may correspond to the fields of a record or may be used to request specific input for a dialog box e Check Boxes One or more options that can be turned on or off by clicking on the associated box The option is on when the box is filled with an X Check boxes are not mutually exclusive Within the Interest page the boxes are yes and no check boxes If your contact is interested the box will be checked e Radio Buttons Like check box
182. ish this is that Broker s Ally supports any ODBC Open DataBase Connectivity level 2 drivers thus enabling the configuration of the application to support alternative databases The normal shrink wrapped Broker s Ally application creates Access tables automatically upon installation and setup For other databases contact your sales representative at Sales BrokersAlly com Scherrer Resources Inc is able to incorporate the Open DataBase Connectivity level 2 drivers in instances where you may need more robust database for enterprise installations on wide area networks WAN s or for Browser based access to Web Broker s Ally on an internet server Database Installation Support Scherrer Resources Inc provides on site installation support for database installation and configuration Contact your account representative for a specific price and engineering quote for details on the specific versions of Broker s Ally that run the following databases 1 Sybase 2 Allbase 3 Btrieve d MS SQL Server 5 DB2 6 Database Manager 7 INFORMIX 8 INGRES 9 NetWare SQL 10 Oracle 11 Paradox 12 PROGRESS 13 SQLBase 14 Tandem NonStop SQL 15 XDB oe 199 APPENDIX C MARKET DATA CONNECTIVITY Scherrer Resources Inc has developed electronic links to market data and security price quote vendors for the purpose of providing you with quick updates to security prices index valuations corporate actions and other daily weekly
183. istory of securities creating a view of holdings that are summarized across lots tracking of available cash displaying the buying power for each contact and extending the number and types of portfolio reports available which include performance reports and performance versus an index This chapter will describe the features and extensions offered by the Portfolio Level It will describe the changes to the user interface and the new processes that are taking place within the system to handle this expanded functionality The enhancements to the Basic Portfolio level are divided into four main categories Transactions Book Page Securities and Reports Each section below describes one of these features and gives details about the user interface 9 1 TRANSACTIONS The Advanced Portfolio Level provides the ability to handle an expanded list of transaction types including many corporate actions It has also modified how the user looks at the posted transactions It provides a view of the transaction data that displays positions summarized across all lots for each security It also allows the user to post a transaction that affects more than one lot at one time Trade Lots Information about individual trade lots is stored in a separate database file Each record contains the most up to date state of the trade lot and this is updated each time a transaction is posted When the quantity of the record is reduced to zero the trade lot is fully dispo
184. ities Calendar open in the Summary view 90 Quick Add Preferences Quick Add setup allows you to specify some of the contact fields you want Broker s Ally to insert for you every time you create a new contact using Quick Add Contact or ASCII Import If you check Use Defaults for Add Contact the default data applies to the Add Contact function as well as Quick Add Contact You can modify the information as you wish before saving the contact Default Contact Data S Interests OF Cancel Help dil Education gt D Use Defaults for Add Contact Faren Comments Owner Salutation J fe me Status Company Rating f City Philadelphia State Pa l Zip Count Source Type f Source f Figure 94 Quick Add Preference When performing an ASCII import each default data field is copied to the contact record after the record is created A default data field is not copied if the target field already contains information However Interests Flags and Comments will be merged with existing information Calculator Preference The Calculator button brings up the Calculator program selector The selected program will run each time you select the Calculator option from the Tools menu press Ctrl L or click on an assigned button on your toolbar The calculator selection option allows you to select a program other than the Windows calculator such as your favorite bond calculator You can ev
185. ize you to create sales Campaigns based on investment product maturity dates and holdings information A campaign is a collection of lists of contact records that are used over a period of time to achieve some specific trading objective You can have several different campaigns running concurrently For example Give me a list of everyone who owns a particular stock so that can call them or mail them an announcement or make a campaign list of all clients who have money coming due this month In addition to the sales Campaigns of Calls Actions Groups or Maturities from the Gold Version the Portfolio version adds an additional Portfolio Campaign the Portfolio Rank List This list includes up to 20 of your top largest accounts in terms of current market value for any Broker s Ally data source For network users the accounts in your list are only those for which you have access rights 8 4 SECURITY TYPES AND ASSET CLASSES SETUP Asset allocation reporting requires that securities be categorized by Asset Classes Using the Setup dialog you can define new security types create asset classes and assign security types to your asset classes The Portfolio Valuation reports present their data organized by asset classes in the same order as you created the classes Broker s Ally allows you to define any classes you wish including such things as equities debt cash technology stocks and inflation sensitive products Security Types Bro
186. k 188 222 Bookmark 190 Contents 188 Edit 189 Help 190 History 188 Index 188 Print 189 Search 190 Using Help 191 Help Menu 188 History Report 136 Household Links Links 118 I Ignore No Mail 89 Import 61 ASCII 62 Index Help 188 Insert Contact Letter Writer 169 Date Letter Writer 169 Document Letter Writer 169 Letter Writer 168 Page Letter Writer 170 Installation Broker s Ally 15 Installation procedures for Networks 212 Interactive Data Download 68 Interactive Data Download 68 Interests 106 Setup 91 Italic Letter Writer 167 L Label Reports 136 137 Address Labels 137 Marked Note Labels 137 Labels 136 Last Contact 100 Report 136 Lead 95 Ledger 155 Letter Writer 162 Document Info 164 Exit 164 Format Text 165 Format 165 Bold 167 Color 166 Italic 167 Page 166 Paragraph 166 Subscript 167 Superscript 167 Insert 168 Contact 169 Date 169 Document 169 Page 170 Menu 164 Merge 170 Replace 168 Ruler 172 Save 164 Save As 164 Search 167 Search amp Replace 168 Spell Check 171 Toolbar 171 Align Paragraph 172 Bold Italicize Underline amp Strikeout 172 Line Spacing 172 Text Color 172 Text Font 171 Text Point Size 171 Level Priviledge 84 Level 3 21 Life Events 25 LIFO 24 27 153 Link Break 118 Find 119 Make 118 Links Contact 11
187. k administrator has selected Enable Passwords in User Preferences and entered a password for a user the person must type in the password to complete the login process Use the Add button to create a new User ID or the Edit button to change a person s name or password User ID User List MGR Manager Level3 Add User Edit User WelEte Ser Ee ES SEN Dee Configure Figure 87 User ID Dialog Adding Users If you have sufficient access rights you can Add a User ID To add a User ID click on the Add button You can enter the new user s ID name and password Click on OK to add the User ID to the system Edit User EES Name Manager Password Cancel Figure 88 Edit User dialog Editing Users If you have sufficient access rights you can edit the Name or Password associated with a User ID You cannot change the User ID 83 Deleting Users lf you have deletion rights you can delete users from the system To delete a user highlight the user s name and click on the Delete button in the User ID dialog You will be asked to confirm the deletion If you confirm the deletion the User ID will be removed from the system You cannot delete user MGR Configuring Users The Configure dialog is accessed via the Configure button You must have the Configure right requires to enter this sensitive area The Configure User dialog is used to assign Broker Numbers and a Privilege Level t
188. k on a different day and the selected week will be presented You can quickly print your Activities Calendar by pressing the Printer Icon located at the bottom of the Activities Calendar window 122 fee Weekly Activities Thu Nov 7 2002 Mon Tue Wed Thu Fri Add Accommien Show Type ACTION CALL 10 004 History Foun Calendar Format Activittes for SE C Daly fe Weekly C Monthy Summary ial lic Figure 124 Activities Calendar Weekly View Monthly Click the Monthly button to see the number of activities scheduled for each day of the current month The red number in the lower right hand corner of the date shows the amount of activities scheduled for that day Each day is a button and the current day is active button depressed Space limitations prevent showing more than the number of events for each day If you double click ona different day on the Monthly view you will go back to the Daily view to see the actual activities for the selected day Use the controls below the calendar to move to a different month or year Also to examine a different day select the Calendar Icon located at the bottom of the Activity Calendar window double click on a different day and the selected day will be presented You can quickly print your Activities Calendar by pressing the Printer Icon located at the bottom of the Activities Calendar window 123 fee Monthly Activities Thu Nov 7 2002
189. ker s Ally is supplied with 16 Security Types such as stock bond cash and cd You can create new types change most attributes of existing types but you cannot delete any types The attributes of a Security Type include its name and three multipliers used for the calculation of cost proceeds and income amount as explained below You cannot change the name of a Security Type Click on Add Type to create a new Security Type or click on Edit Type to change the one you have highlighted same as double clicking a type 145 Edit Security Type Note IF you change a secunty type all relevant securities will have to be updated b Secuii Mpe Goverment Bond Cancel Price Mutiplier UE Hein Quantity Multiple om Income Multipher jo o 0 Figure 144 Edit Security Type When creating a new Security Type enter its name and multipliers Broker s Ally uses three multipliers Price Multiplier Quantity Multiplier Income Multiplier to perform calculations for cost proceeds income amount and gain loss For example Cost Open Price X Price Multiplier X Quantity X Quantity Multiplier Proceeds Close Price X Price Multiplier X Quantity X Quantity Multiplier Income Amt Income X Income Multiplier X Quantity X Quantity Multiplier The Price Multiplier converts an open or close Price into a dollar value per unit The Quantity Multiplier converts Quantity into number of units The Income Multiplier converts Income into a d
190. ker s Ally usually puts tomorrow s date into the Date field and the current time in the time field Broker s Ally offers a shortcut when entering a date or time Instead of entering a full date you can simply enter the number of days hence Enter a number and Broker s Ally will add this number to today s date in order to construct a proper date expression For example to enter tomorrow s date enter 1 for one day hence Similarly if you enter a number in a time field Broker s Ally adds this number of minutes to the current time to produce a proper time statement Double click on a date field to pick a date from a popup calendar Double click on a day in the calendar to enter the date into the date field Double click on a time field to pick a time from a popup Edit Time dialog Click on AM or PM and then double click on a time in the Edit Time dialog to enter the time into the time field 126 Duration To schedule a block of time for an activity enter the length of time in minutes Duration is useful only when you have specified a time for the activity The Daily and Weekly Calendar will show the same activity more than once if the Duration is greater than the time slot size Also see the next paragraph Check your other activities for a conflict If you mark this option the scheduler looks for conflicts with your other activities when adding or updating an activity When a Duration is entered the conflict analyzer looks for over
191. l Merge Wizard is automatically installed into Microsoft Word when you install Broker s Ally Microsoft Word needs to be installed on your computer prior to Broker s Ally If the Broker s Ally menu does not appear in Word reinstall Broker s Ally from the original distribution diskettes Microsoft Word SUPPORT1 DOC Ga Edit View Insert Format Tools Table Window Help ee ee SE E eer Sg ne Now Ronen DIr E SS cenno Teamen suner L Broker s Ally Mail Merge Wizard Figure 199 Microsoft Word menu You may merge all contacts in a Broker s Ally data source or merge the contacts in an existing list with a document you create in Word You can print letters labels or envelopes from Word with your merged information from Broker s Ally Broker s Ally Mail Merge Vizard Select the type of document you with create e Letter Labels Envelope Figure 200 Broker s Ally Mail Merge Wizard 195 Broker s Ally Mail Merge Wizard Select your Broker s Ally Login Id MGR James Kurm GSW Greg Walters JMO John Walker A412 Allison Adams Enter your password a Cancel c pen Figure 201 Mail Merge Wizard Password Information Broker s Ally Hail Merge Wizard LN Please select the Broker s Ally Data Source you wish to merge with this document Client Database g The data to be used The whole database Cancel Back Next gt Kips Figure 202 Choose a Broker s Ally data
192. l information such as account number telephone numbers status rating and comments are entered here as well The other pages include Notes Flags amp Interests User Fields and Book pages You cannot use the Notes and Book pages until you have entered the basic contact information in the other three pages and clicked on Add Data Source On the far right of each page is a list box showing available Broker s Ally Data Sources and the one that is highlighted is the currently selected database You can change the selection of data source simply by clicking on and highlighting your choice Note You must select a Data Source before you click on the Add button The first data source is selected by default Advanced users might create other data sources 99 Below the Data Source box are several control buttons Click on Add to save a new record or click on Cancel to abandon it Address Page To enter a new contact select View Add Contact and enter the contact s data into the fields of the empty Address page At a minimum you should probably enter a Last Name although Broker s Ally will accept a record if you enter something in only one field The Address page of the contact view displays its data in two logical areas the address on the left and description data on the right with the name running across the top While you are looking at the name field note that it is broken into six separate sub fields corresponding to two Salu
193. lapping time blocks If your activities do not have duration s the conflict analyzer only reports when you have another activity scheduled on the same day at the same time Alarm You may set an alarm to notify you when the activity comes due Simply click on the check box labeled Activate alarm when activity comes due You may also set an Alarm Lead in order to notify you a specified number of minutes in advance of the scheduled time Description Annual Portfolio Review Type ACTION Snooze 10 Edit Delete Close Figure 128 Broker s Ally Alert System 7 7 SALES PLANNER A multi step sales planner is incorporated in Broker s Ally and can be found under the View menu The Sales Planner is used to create sales and marketing campaigns for individual contacts or a group of contacts You can create many different sales plans and have them readily available for future selling opportunities The Sales Planner is available in the Broker s Ally Gold level and above View Sales Plans E4 Plan Hame i Chent Review 6 Month Gathering Assets Top 100 High Growth Weekly Contact Prospecting 101 Edit Prospecting 102 Seminar Planning Delete Copy Close 127 Figure 129 View Your Sales Plans After you choose Sales Planner on the View menu you can either View your available Sales Plans or Apply an existing Sales Plan to an individual or a group To create your own Sales Plan from the View Menu choose View S
194. ler OPON S cuneate int a E ie aurea aoe 177 Figure 176 Standard Windows Calculator s0000nnnnnnoooaannnnnnnnnonnennnnnnnnnnnnrernrnnsrnrnnnrrrrennennnnrrennene 179 Fig r 177 SCIENIIIC Calculator acses e SNE 180 PIQGUNGs 17 8 GAlen e LE 180 Foure 7 OSC eA PA EE 181 Foure 5a ho Elei lte E 182 Figure 181 Palm Data synchronization with Broker s Aly 183 Figure 182 Internet Access from Main Menu Extensions Quick connect to BrokersAlly com 184 IQ UIC 183 VV INGOW ING EE 185 Figure 184 Cascaded View 185 Hogue tess Arnranged Mee EE 186 PIGUET BGs le WINIOWS LIST GE 187 PIQUIC TESTAA HE EE 188 Figure 188 Broker s Ally Help menu ENEE EEN 189 Foure T9 AED FIE Merren aa S 189 Figure 190 Aep e TEE 189 Figure 191 Help Bookmark Men 190 Figure 192 Ine Aep Hep MENU EE 190 Foue Be AEDS eae WEE 191 Sieten BEE 192 IQ UNC E FNANCA TENS E 193 FOUE T96 TP e RRE 193 Figure 197 The What s New Read me File under Help Men 194 Figure 198 About Broker s Ally dialog cccccseeeseeeeeeeeaeecaeeeseeeeeeeeseeeaeeeeeeeeesaesaeaeeeeeeeseseaeseeseeeees 194 Fig re 199 MICFOSOIT VV ere MONU E 195 Figure 200 Broker s Ally Mail Merge Wizard nnnnnennnnnennnnnnnnnnnnnnnnsrnnrnenrnnnnssrnnrrnnnrnrnrrennrnrnreennnnee 195 Figure 201 Mail Merge Wizard Password Information ccccseeeceeeeeeeeeeeeeeeeeeeeeeeeeeeeceeeeessaaeeeeeess 196 Figure 202 Choose a Broker s Ally data source or a List for
195. lio valuations Numerous electronic utilities have been created for use with Broker s Ally for the purpose of updating these security master files to create archives of historical prices for performance reports and to store indexes against which the performance of holdings can be compared 201 APPENDIX D SYSTEM SPECIFICATIONS To run Broker s Ally version 9 for Windows you need as minimum requirements e Microsoft Windows 32 bit operating system Windows 95 or higher e Personal computer using Pentium II or higher microprocessor e Minimum 16MB of memory 64MB or more recommended e Hard disk with at least 100 MB free for the Broker s Ally program and Data files The Program requires 25 MB of free hard drive space to install CD Rom Drive e Mouse or compatible pointing device APPENDIX E COMMONLY ASKED QUESTIONS Q When delete a call contact or groups list in Broker s Ally the information does not delete What s wrong How do I correct this problem Your BAWINY INI file did not set up correctly because at time of installation there may have been another program running or file obstructing the installation To correct this problem click on the File menu and choose ODBC Settings Click on Broker s Ally Data Access files Next click on the Setup button When in the ODBC dBase setup window click on the OK button Close the Data Source window and exit Broker s Ally Exit Windows and reboot your computer system When you enter
196. list Remember that you can create as many lists as you want Therefore before revising or deleting an existing list be sure you have no use for the current list before refreshing it Using a Call List After creating a specialized list click View List in the Call List dialog The List view displays the names of all selected individuals and is the gateway to doing something with the list You can scroll through the list by clicking on the up or down arrows The List view has buttons for Zoom Reports and Mail Merge An entry can be checked marked as completed and checked entries can be functionally removed from the list if you select the Skip Checks option 133 ke LIST VIEWER Prospecting List HGH 5 Contacts PS el FS Di Reports Mail Merge Envelopes Check Item Reset Item Figure 134 List View Zoom To see and work with the full contact record for someone in the list highlight a member of the list and click the Zoom button When the contact window appears you can dial a phone number change contact information add notes enter transactions and so on You can move to the contact window for the next individual in the list using the browse buttons Otherwise click Update or Cancel as appropriate to return to the List View Reports Since most reports are based on a list you can launch a report from the List View In this case you have already selected the list you will use When you click the Reports button to g
197. ll checker to automatically replace the suspect word with the suggestion for the remainder of the document You may edit the Change To replacement word if the spell checker does not provide an appropriate suggestion Spelling Check Hot in Dictionary int Change To i Ignore All Suggestions i r C Change All Cancel Figure 169 Spell Check Dialog Note Merge Field Protection When the spell checker makes a revision on a line containing a merge field it deletes the merge field You will have to re enter the merge field Letter Writer Toolbar In addition to its pull down menu the Letter Writer provides a Toolbar that provides instant access to many common functions WI Figure 170 Letter Writer Toolbar Text Font The Font scroll box presents all of the fonts installed with Windows You can select any font for the currently highlighted text simply by clicking on the font name You can quickly move to a font name by typing the first couple of letters of the font name into the input portion of the Font scroll box Text Point Size You can quickly change the point size of selected text by clicking on the Point Size button You can either enter the exact point size desired or click on one of the preset point sizes 171 Left Center Right amp Justify Paragraph The various paragraph alignment options will re align the currently highlighted paragraph or paragraphs You can select portions of one or more paragr
198. mpaign to contact people holding securities that will mature within a certain range of dates you should use the Maturity List Managing activities comprises a great portion of an investment advisor s workday Effectively handling calls actions group and maturity related activities with Broker s Ally would vastly increase your production 7 1 FIND CONTACT In keeping with the user manual organizational scheme of discussing each menu option as it appears in the View menu we will discuss finding a contact before we discuss adding a contact However you can t find a contact before you have added one Furthermore we have reserved the detailed discussion of each of the contact pages and fields for the next user manual section You may wish to read the Add Contact section below if you are not already familiar with the Contact window and sub pages of data 96 ES Find Contact Name fsan d D se Im aa fiGen Account 2nd Marne Open Date f Company rT We Parle i Email Dwner Others Data Source Address status f City State f os Zip County f Carrier Foute T No Mail Work I ext Home Brame dumne Addiesses Far Find Cose b SES Address Hotes Interests User Fields Eak Sec Agenda Figure 100 Find Contact Window Comments f D The Find Contact window is used to locate specific contact records and contains the same pages and field layout as the Add Contact windo
199. mpary Last Contact f gt Emai Ownerf Ee Data Source Address Status f qE utere Rating f City State f a att zip County f Carrier rowel IT No Mail Comments Address Hotes Interests Userkielde Blees a Agenda Figure 31 Add Contact Screen 3 2 SCHEDULE YOUR CONTACTS FOR ACTIVITIES Activities are defined in Broker s Ally as the things you will do with a client or prospect Activities is the umbrella term under which sub terms fall such as calls actions or meetings As you add new contacts to your database you might want to schedule an activity such as a Call 33 Action or Meeting activity for each record You could also apply a pre defined multi step Sales Plan to a contact A Call activity is set up as a date in the future that you would like to telephone a contact You can schedule an Action for any reason that you want to be reminded of in the future For example you could create an Action to remind yourself to review a portfolio or send a dividend check You can also schedule a meeting with a client While viewing a contact record you are able to schedule an event by clicking on View and then on Schedule Activity While in the schedule dialog box enter the proposed time and date for the activity and a description of what needs to be done or discussed 1 To add a Call Action or Meeting Activity for a contact you need to have the contact s record on your screen 2 Pull up th
200. mson Reuters BETA SYSTEMS INC Market Data amp Securities Processing 350 North Sunnyslope Road Brookfield WI 53005 414 789 9000 CHECKFREE INVESTMENT SERVICES 10 Exchange Place Jersey City NJ 07302 201 324 5111 EXAMCO INC Computer Based Training 1600 20th Street Kenner LA 70062 800 955 7055 FINANCIAL DATABASE SOLUTIONS 4045 Sorrento Valley Blvd San Diego CA 92121 858 558 7100 FT INTERACTIVE DATA 22 Crosby Drive Bedford MA 01730 781 687 8800 MICROSOFT CORP One Microsoft Way Redmond WA 98052 6399 206 637 7098 206 462 9673 206 646 5102 PERSHING securities Clearance One Pershing Plaza Jersey City NJ 07399 201 413 3080 Thomson REUTERS 205 Product i Performance Reporting Beta Link Security APL Broker Test Caesar System Market Data Feeds For Broker s Ally Windows Word Pershing Platform AdvantageAE Market Data Services 77 Water Street 8th Floor New York NY 10005 212 898 7003 SCHERRER RESOURCES INC Advisor Workstation Software and Web Portal 120 Arrandale Boulevard Exton PA 19341 484 875 1700 phone 484 875 1704 fax STANDARD amp POORS Stock Market Data amp Analysis 25 Broadway New York NY 10004 212 208 8716 SUNGARD Market Data Services 201 East Park Drive Mount Laurel NJ 08054 609 727 2084 THESTREET COM 14 Wall Street 14 Floor New York NY 10005 212 321 5000 206 Broker s Ally www BrokersAlly com S amp P 500 Index
201. n Associate Link to other contacts Press this button to view your Associate Links Household Links Household links are used to reference other contacts records belonging to the same person or other members of the same financial household unit such as a spouse children or extended family When the Jee button appears in the contact window found under the data source dialog window you have a Household Link to other contacts Press this button to view your Household Links Jim Scherrer I fel FS Name Mr Sp Ti I Li r Account I Find Linked Contact nd Name Company SCH Associate Contacts Dwe Christiansen Steve Data Source Address Bt City Eag IE Country f Records 5 work Phone Numb RE Close EAE Address Notes Interests User Fields Book Page Agenda Figure 121 Contact Screen showing Linked Records Comments f d Make Link To create a link you must display a record to which you want to attach a second record From the Contact menu select Links Make Link The system allows you to find another contact and click the Link button to connect them together Break Link To break a link you simply find the record you want to free from the connection to another record or other records From the Contact menu select Links Break Link to destroy the connection 119 Find Link To find an individual or individuals linked to the current contact select Links Find Link from the C
202. n Broker s Ally Gold Annuity cmo mutual fund 147 Bond commodity option bond unit trust corporate bond stock Cash government bond unit trust Cd money market closed end fund municipal bond 8 5 How TO USE THE PORTFOLIO VERSION In order to use the Portfolio version you need to first enter a database of securities either manually or electronically found under menu items Edit Securities and then enter transactions into the Posting Book Ledger for your customer accounts Users can enter change and view all securities under Edit Securities Each security has a Symbol or CUSIP number Description security Type and Price For bonds you can enter the Maturity Date When downloading prices from a service you will see the source in Pricing Service Any firm or quote vendor offering a download or Dynamic Data Exchange DDE link may move data into Broker s Ally Once securities are entered you are ready to post transactions into the Posting Book Ledgers of your clients To Post transactions you enter the appropriate data for each security transaction which may include trade date quantity symbol price fees commission and total If the security is not held in house you can note its location You can enter a specific transaction reference number if you wish and a description attachment If you attempt to enter a transaction for a security not registered in the securities database Broker s Ally will prompt you and assist you in adding it to
203. n Broker s Ally The Scratch Pad allows you to record information which is not specific to any client such as your personal notes FedEx numbers or reference topics The Sales Scripts contain standard or custom telemarketing scripts that improve efficiency and productivity for cold calling and mailing follow up calls Calendar Calculator and Stopwatch By selecting Calendar from the Tools menu or typing Ctrl E you can call a pop up date calendar This is very handy for quickly selecting the date of future return calls The Tools menu also has a 13 Calculator Ctrl L The Stopwatch Cirl T will track time spent on an activity and even convert the time to dollars for billing or expense calculations Running Dollars gdoloek 0 Figure 10 Stopwatch Calendar Tool Saturday Januar 12 2002 Sun Mon Tue WedThu Fri Sat 1 j2 ja 4 5 E ff ia ja i0 fll 13 j14 15 JIB jiz jis 14 20 wl j 25 24 25 26 ef 20 Ji LU fal f anuar 2002 E Figure 11 Pop up Calendar Help System A Help system is available throughout Broker s Ally by simply selecting Help from the Main menu or pressing F1 The Help system is a hypertext database of valuable reference information When you use F1 to activate the Help system you will see specific information about the current window Help a Using Help Financial Terme Glossary Tip of the day what s new About Brokers Ally Figure 12 Help Menu 14 1 4 PROGR
204. n but has borrowed in expectation of a drop in the stock s value Stock Ownership shares of a corporation Also Common stock or Preferred stock and tracked in Broker s Ally under the name of the security Stock dividend Shown in Broker s Ally as an income type transaction A dividend paid in securities rather than cash either additional shares of the issuing company or shares of another company usually a subsidiary held by the issuing company These dividend shares are not taxable until sold Tax basis The original cost of an asset if purchased or the fair market value of that asset if inherited less accumulated depreciation See basis Tax exempt security Tracked in Broker s Ally as an attribute of a security type A security whose interest income is exempt from federal income tax a municipal bond Yield In general the amount of profit on an investment of capital calculated in Broker s Ally as a percentage Zero coupon bond In Broker s Ally another type of bond tracked specifically by CUSIP A bond that is sold at a deep discount from par value and therefore appreciates substantially but makes no payments of interest 152 CHAPTERQY ADVANCED PORTFOLIO FEATURES The Portfolio Level extends the portfolio management capabilities of Broker s Ally It accomplishes this by increasing the number of transaction types accounting methods and reports that are available to the user This provides for the storage of the price h
205. n comma delimited format The fields may be enclosed within double or single quotes and each record must be terminated with lt CR gt lt LF gt The ASCII loader will accept contacts notes postings and securities information When importing notes and postings the ASCII loader will only accept 1 note and 1 posting per contact record transferred 61 Hap Fields to Import E4 Select Field to Map Data Mapped To lt lt Do Not Mape gt People Full Name Salutation 2nd Salutation First Name Initial Last Hame Gulf 2nd Hame Company Address Line 1 Address Line 2 City State Cancel Clear All Figure 66 Map ASCII fields to Broker s Ally fields 1 Select ASCII Loader from the Import dialog and press Start 2 Supply the filename of the ASCII file 3 The Map Fields dialog presents on the left a list of sample fields taken from the first ASCII record The list box on the right shows the destination fields in Broker s Ally You must map every field you wish to import by selecting a sample data field in the left hand list box and a destination field in the right hand list box Select lt Do not Map gt to unassign an incorrectly mapped field ASCII Options T Convert to mized case Contacts F Add default data Start transter with record H i Number of records to transfer jo U all records Cancel Figure 67 ASCII Options 4 If the incoming data is in upper case we recommend t
206. nce Automatic login as MGR to avoid this step Furthermore you may have to enter a password to continue In the network version of Broker s Ally you may at any time login as another user by choosing a different User ID on the Edit menu 2 Create User ID s assign passwords Broker Numbers and assign Rights In a network installation the system administrator will want to control each user s access to information and various features of the program User IDs and Passwords A User ID is used to identify the person using the software Each marked note marked letter and scheduled activity is associated with a particular user A User ID has an associated user name and optional password A User ID also has associated rights which determine the scope of operations the user can perform Single user installations of Broker s Ally assume a User ID of MGR with all rights enabled In network installations the system administrator will create a User ID for each user and assign rights as required 82 Conflicts can occur if you share a User ID with another person Individual user preferences data sources marked notes marked letters scheduled activities tallies and histories are associated with each User ID The network administrator will assign a User ID to each user which is a code of upto 5 characters vr such as the initials of the user or the user s broker number Every User ID has an associated name ojo the person s name If the networ
207. nd For common stock par value per share is assigned by the company s charter for accounting purposes but has no relation to market value Stored in the securities table Put Tracked as a security type in Broker s Ally An option to sell 100 shares of stock at a definite strike price within a specified period of time For this right the buyer pays a premium if he does not exercise the option before it expires he forfeits the premium and the option is worthless 151 Real Estate Investment Trust REIT A default securities handled by the Portfolio System which tracks the characteristics of a real estate investment trust Registered representative In Broker s Ally tracked as the broker number Also known as an account executive or customer s broker Regulation U The Federal Reserve Board regulation governing the amount of credit that may be advanced by a bank to its customers for the purchase of securities Return In Broker s Ally this is the pretax profit on an investment expressed as an annual percentage of the investor s original capital depicted as the sum of the net change in the investment s market value and any dividends or interest paid is divided by the purchase price Return of capital A distribution to an investor from a source other than net income as determined for tax or accounting purposes Selling short Tracked in Broker s Ally as a short sale The sale by an investor of stock that he does not ow
208. nd prepare to enter a new note Quick Letter Click on the Quick Ltr button to select a Quick Letter template for creating a brief letter that is saved in the notepad for future reference After editing the letter you can print it by selecting Print Quick Letter on the Contact menu See Quick Letter below Mark Unmark Click the Mark button to mark a note see Marked Notes below You can print Notes that are marked with your User ID via reports The Mark Note dialog also allows you to mark the note for another user When the current note is already marked this button is labeled Unmark To remove a mark on a note simply click the Unmark button Review Click on Review to display all notes for the contact simultaneously This is a read only presentation meaning you cannot make any changes Click on Review again to return to the normal view edit mode for individual notes Delete Click the Delete button to erase a note Change Date Click the Change Date button to modify the date time stamp for the note Spell Check Click the Spell Check button to check the spelling for your note or quick letter Notes Categorization Added ability to organize the notes based on their content in categories such as contact compliance personal investment operation and others in order to improve understanding Notes Access Control Added ability to set control of access to notes such as private semi private public access Notes Expiration and Pri
209. ndo option to reverse changes made to the current document or data screen The Securities dialog allows you to view and edit information about the securities master file used to price and characterize transactions and holdings Finally the User ID and User Preferences options can be used to customize your Broker s Ally installation 6 1 UNDO You can select the Undo option for two types of screens text editing screens such as the Letter Writer Notepad and Script editor or data entry screens such as the Contact view When you are working with a text editing screen the Undo option will reverse the last editing action For example if you had just changed the font for selected text clicking on the Undo option will cause the text to revert to its former font When you are entering or editing data in a data entry field the Undo option will restore the previous entry When Broker s Ally is unable to Undo the current operation the Undo option will not be available signified by its dimmed appearance To remove all changes to a contact s note since you last saved it select Undo on the Edit menu If you have marked a note or changed its date Broker s Ally also resets these changes 6 2 CUT The Cut Copy and Paste options work in concert with the Windows Clipboard As such it is capable of operating within and between Broker s Ally and other programs The Cut option removes the selected data from the current screen or document and places it in
210. ndows as your system s hardware can support Sometimes these multi window displays can become confusing with one window hiding another You can use the Window menu options to redraw the windows in a cascade or tile view You can move a selected window to the foreground by selecting it by name from the Open Windows list The Cascade option on the Window menu will arrange all open multiple display windows such as a Contact view Letter Writer document List view Scratchpad Sales Script and Activities Calendar from top to bottom left to right The order of precedence is determined by the order you last accessed the windows with the most recently accessed displayed on top Each window is displayed in standard size overlapping the other windows as much as necessary The Cascade option is most useful for displaying a single window amongst a group of active windows at the same time while allowing you to switch from one window to another window simply by clicking on a protruding edge of the underlying window 184 Broker s Ally Portfolio Version 6 51 for Gregory S Walters No Time CALL 11 05AM Douc TOUA 2 Di Cascade Tile Arrange Icons Close All 1 Betty Baker 2 CONTACTS 24 3 Diane Black 4 CONTACTS 24 5 Mary Peters 6 CONTACTS 24 Carol Wagner 8 CONTACTS 2 Kb PRE GIS CONTACTS 24 PIs EG PIES CONTACTS 24 Il sod rat RRE Bisi E rol Wagner Add Edit Sweep 30 Kennt y 9 Daily Activitie
211. ne numbers grabbed from the contact window A prefix is what you need to dial to connect to an outside line whereas a suffix is an optional accounting code your firm may require Broker s Ally allows you to enter a prefix and a suffix for each type of call local long distance international and special long distance A dial prefix string can be a combination of modem commands and dialing codes that precede a phone number Figure 82 Dialer Optionsand here is an illustration of typical prefix strings Local Calls Prefix 9 Long Distance Calls Prefix 9 1 The Local Calls Prefix will dial 9 and pause two seconds to allow for connecting to an outside line The Long Distance Calls Prefix will dial 9 pause two seconds and dial 1 For more information see Options under Dialer in the Tools chapter General Settings Select the No Modem option if you do not have a modem but would like to track your calls successful contacts and update Last Contact in a record Select No Modem and proceed as if you were dialing the phone automatically Although the Dial button will be inactive the Contacted button will register the information Select the Contact History option to update the Last Contact field in a record and add an entry to the history file documenting your phone call The entry is added to the history file only when you click on Contacted and Hang Up button when using the dial feature 77 5 5 PAGE SETUP
212. ne someone using the dialer and click on Contacted the Last Contact field in the contact record is updated History This report is the same as the Summary page of the Activities Calendar when you check History and shows all of your completed activities You can select histories falling within a range of dates and produce a report for histories belonging to other users Marked Notes While the Notes page of a Contact view is displayed a note can be marked for printing at a later time typically the end of the day These marked notes are printed using this report providing the contact Name together with the Note Unlike the Marked Note Labels report which is designed to print on label stock this report prints the full text of the note After the report is displayed or printed you can unmark all marked notes to avoid printing the same notes the next time you run this report Do not unmark the notes until you print Marked Note Labels unless you do not intend to print labels Notes Shows all notes for each contact in the list You can select notes by a date range and or a fragment of text Phone Shows Name Work phone Work Extension Home phone and Fax phone numbers for all records 1n the list Phone Tallies Shows a summary of the number of calls and phone contacts you have made during the past two weeks months and years Includes graphs Rating Status Shows Name Status and Rating for all records in the list Includes a gra
213. nitions 1 16 17 32 33 43 Local Remem Local _ Riemer Dei Field Name k Type Resp Def Field Name Type Resp ti F Networth Number O S p Marital Status String m Occupation String R 10 TC SpouseName Sting F C PF fincome Number F114 p Spouse Birthday Date C M Employer sting lf 1 Cen String lf TC Retirement Date Date 1 P Associations Sting M SR N ee Pf PO en f HE secretay Joe IT e JI eE Cancel Figure 97 User Fields Dialog In network installations each User Field definition applies to all users unless you check the Local Definition box A local definition will be used only on your PC The system administrator can restrict access to some or all User Fields in the setup dialog by selectively assigning User Field setup rights User Info Setup This dialog allows you to setup information to be automatically inserted into a letter created by the Letter Writer You can use these fields for any personal information you wish The following User merge fields in the Letter Writer utilize these data Merge Field Description Name Your Name Title or Assistance s Name 93 Phone Your Phone Number e mail Your e mail address ___ _ i FiName Name of your financial institution _ _ _ Fi Branch Name of the branch of your financial institution FI Type Financial institution type Bank Credit Union etc Fl Officer Name of branch manager Target mark
214. now how well you are calling The Tallies Report located under View Reports provides you with an instant view of your progress on a weekly monthly and yearly basis Broker s Ally will report and graph how many calls you have made and how often a call resulted in a contact Also in network situations the manager can evaluate another user s call progress by viewing their tallies information This is a powerful and useful tool for managers to track the calling activity of their employees The Tallies Report gives you the opportunity to set goals and track your progress towards them For example you might give yourself a goal to contact 50 people a day Periodically you can check your tallies If your tallies report shows that you have exceeded your goal then adjust your goal higher If you are having difficulty reaching 50 contacts a day readjust your goal to a more realistic level History of Accomplished Activities You can also view your history of Calls via the Activities Calendar Choose Activities Calendar from the View menu select Summary view check the History box and select CALL in the Show Type list box You can view the same information using the history report under Standard reports 45 e History Summary Fri Feb 14 1997 at 5 09 PH Avis Bauman Shirley Bamberger David Wagner David Wagner Irvin Amann Wayne Barber Julie Berland Shirley Bamberger Dorothy Ziggler David Wagner Irvin Amann Julie Berland Kenneth
215. ntact Screen showing Linked RecordS ssssssnnnnnnnnsesseeeseenesssrrrrrnnnnnnrtreessnnnnn nnne 119 Fig re T22 elen e EE 120 Figure 123 Activities Calendar Daily ViOW ccccccccccssssssseceeeeeeeceeeeaeeeeceseeeaaaseeceeeeeessseaaasseseess 122 Figure 124 Activities Calendar Weekly View 123 Figure 125 Activities Calendar monthly view 124 Figure 126 Activities Calendar Summary view 124 Figure 1 27 Schedule Activity Dialog EE 125 Figure 128 Brokers Ally Alert System ccccccccceeeeeceeecaecceeesseeeeeeeaeeeeseeceeeeesaesaeaaaeseeeesessaaseeeeeeees 127 Figure 129 View Your Sales Plans ccccccccccccssssseeceeeeeeeeeeeaeeeceeeeessseeseeeeeeeeeeeesaaaseeeeeeesssaaaseeeess 128 Figure 130 Steps in a Multi step Sales Plan 00 ccccccceeseeceeeeeeecscccsseeceeeccsccesseneeeesenesececesenses 128 Figure 131 Select Sales Plan to Apply to Group of Contact Hecorde 129 Figure 132 Call KISH Dial OG iasetestectss ti eanerintiinteed ect altnnheeaaucneneetauavctiet a 131 FIJUG E ck CNIS ER 132 FIQUIC 134 gt LIST VOW ssetectte ee iat iene a nia anne ae 134 ROUWE 13974 IROCDOMS RTE E 136 Figure 136 The Portfolio men 140 Figure 1 37 Broker POMIONO REDONS EE 140 left 138 ein elle Client e en CN 141 Figure 139 Portfolio Rank Report a Broker Report sek EEEEEN RRE EEN ENN 143 Figure 140 Portfolio Valuation Summary Report a Client Report aaannnnannnnnannnnannnnennnnnnnennnnn
216. ntact information such as export and select a Drive Directory and Data Source Type Be sure to select a directory where no other Broker s Ally data files reside 3 Click on OK to begin exporting 4 lf you would like to delete the contact records after your export check the box Delete after export 5 After completing the export backup the files on diskettes 6 Restore the files to an unused directory on the second computer 7 Onthe second computer use Broker s Ally Import to merge the data with an existing registered data source Export To E To Data Source File Name lt Exp export dbf Chent Database Prozpect Database Database Data Source Type dBase Data Intersoly Figure 72 Broker s Ally export dialog Download Portfolio Level only Various database download modules are being developed through special arrangement with Scherrer Resources Inc and the vendors of these databases Contact your firm or database provider to ensure they are compatible with Broker s Ally Your Broker s Ally Sales Representative can also assist you in determining what downloads have been developed for Broker s Ally 67 Downlaad From To import Type Data Source BETAccess vil TTT BA Clients I interactree Vt ee Gregs Database Pershing wi 0 Quote Exprees Pricet Figure 73 Download dialog window The Download option is a specialized import process that captures portfol
217. ntents for each contact To really change its meaning you will need to erase the prior contents of the field from each record before entering the new data Book Page Each single line entry within the Book Page ledger shows e Security The name of the security Quantity the number of shares traded or the face amount of a bond or CD transaction Market Price current market price if available for an open position Market Value market price times quantity Open Price opening price per share or percent of face value for a bond or CD Price is positive for a buy and negative for a sell If you double click on the entry in the ledger or you select View security transactions or View cash transactions you can observe the underlying information related to this entry such as e Open Date opening trade date Action the type of action such as purchase sale short etc Gain Loss Unrealized or realized gain or loss Symbol the ticker symbol CUSIP number or other identifier Close Date closing trade date Close Price closing price per share or percent of face value for a bond or CD Total Value market value of an open position if Market Price available 111 e Market Gain Loss market value minus cost for an open position Robert Adams Security AT amp T Corp IBN Internet Capital Gro Mortel Metworks Cor Open Cost Mkt Value Mkt Damdl oss Cash Duumg Power me ES
218. nting Dates Allows the user to set a date that a note and action expires or is printed Marked Notes Marked Notes can be used to send additional information to customers with little effort by printing the marked notes report on dual label mailing label paper To create this fulfillment mailing label simply type into the note a description of the material to be sent then mark it for printing at a later time Then use the Mark button to bring up the Mark dialog Your User ID appears by default Click OK to mark the note This action separates this note from all the others and makes it ready for printing the name and address label in correct format To unmark a previously marked note click Unmark 104 Bim Scherrer Sat Jan 12 2002 3 20PM OnornMGA Marked MGR sg OS Account Printed Tf you want to segregate this note from others you can Mark it using the Mark Button below which then is identified above by the UserID ofthe o IT person who marked the note as in MGA shown above l AMEI l Beier Data Source Marked notes can be printed out as to do lists or for printing mailing pes labels of information which should be mailed to cliente in fulfillment of DE request Test Include iri Archvity Function Records E m K l Save l Send E mail EENEG l Close New Quick Ltr Unman Review Date Delete Spell E Category lt None gt be sl Access lt None gt Address Notes Interests Us
219. nual upgrades or updates to the software The telephone hotline is your instant pipeline to a qualified support engineer every time you pick up the phone This newsletter has tips and techniques on how to make the most efficient use of Broker s Ally It will highlight the powerful and often overlooked features of the program vi Broker s Ally Network Portfolio Yersion 6 19 for Scherrer Resources Inc File Edit View Portfolio Mail Tools Web Window Help www BrokersAlly com Broker s Ally Software e Support Figure 1 www BrokersAlly com Software Support From the Main Menu Telephone Hotline support coupled with the e support found on the Internet accessed at the www BrokersAlly com web site will provide you with an opportunity to make the most of your software purchase and to virtually eliminate costly down time For more information on the Broker s Ally Support Plus Pack or the Platinum Support Pack please call the client services department at 484 875 1705 or fax us at 484 875 1704 or for faster service e mail your requests to Support BrokersAlly com to the attention of the Client Services Department 1 2 TYPOGRAPHICAL CONVENTIONS You will interact with Broker s Ally by typing on your keyboard and by clicking with your mouse There are two sorts of keyboard entries one is to type text eg names addresses and numbers and so on the other is press specific keys F3 Alt F9 Enter Shift PgDn and so on lf we want you to typ
220. o create your own customized reports by utilizing the merge fields To start up the Letter Writer simply select it from the Mail Menu The Letter Writer will expect you to open an existing letter or to create a new letter 162 Letter Writer File Name Directories Re c bab appntmnt bal CC birthday bal i bab chent bal i i dontdoit bal o Delete getwell_ bal data Cancel money bal _ docking referral bal aa letters Help thankyou bal E Network List Files of Type Drives BA Wm Letters bal sl EJ c gew sc Figure 157 Open Letter Writer Dialog The Letter Writer can open files having the extension BAL Broker s Ally Letters RTF Rich Text Format files or plain text files If you wish you can also select another directory or drive by double clicking on the desired entry in the appropriate scroll box First to select a letter you can either highlight it and click on the Open button or you can double click on the file name Once you have selected an existing file or requested a new file the Letter Writer displays its main window A APPNTMNT BAL E B zu le 0 1 2 3 6 i E l 5 l EE EE ON nas Ha NNNNNNNN DD YYYY FULL NAME ADDRESS 1 ADDRESS2 CITY STATE ZIP Dear FIRSTN AME This letter is to confirm your appointment here on We will use this time to review your current portfolio and to discuss the coming year s market strategies look forward to m
221. o each user Broker Numbers You can assign one or more Broker Numbers or User IDs to each user and thereby control access to contact records A user can only access a contact record that has one of these Broker Numbers in the Owner field of the contact record However any user can view a contact record with a blank Owner field Access to Info System administrators can allow users access to Lists Activities History and Marked Letters associated with other users If you do not want the user to see this type of information belonging to others make sure All Users is not checked and no items are selected in the Users list box To permit the user access to others information explicitly select their user ids in the Users list box or check All Users If you do not check All Users you can select at least five users Configure MGH Access to Contacts Broker Mumbers hy Cancel Help hd Al Broker Numbers Add Broker Delete Broker M All Users Edit Levels Security Level Levels Figure 89 Configure User Dialog Assigning Broker Numbers Broker s Ally supports multiple broker numbers for each user and allows more than one user to share a broker number By assigning more than one broker number to a given User ID you provide 84 access to the contact and activity records associated with each of the broker numbers Assigning multiple broker numbers allows you to setup a User ID for
222. o to the Reports dialog you will choose a particular report Alternatively you could start with Reports from the View menu choose the report and then pick the list If you want to print mailing labels for everyone in the list choose an appropriate report Mail Merge You can use any list to print letters Click Mail Merge from the List View to call the Letter Writer select an appropriate form letter and proceed to print a merged letter for everyone in the list You can print envelopes by clicking the Envelopes button Check Item Click on Check Item to mark the selected contact as completed The contact will appear with the strike thru attribute and your User ID will appear to the left of the name Checking an item has no effect on any operations performed with the list unless you select the Skip Checks option Reset Item Click on Reset Item to undo the Checked Item 134 Skip Checks Select the Skip Checks option to cause any operation using the list to ignore checked entries When you Zoom to a contact window and use the browse buttons you will see only unchecked contacts When you create a report print mail merge letters or export data only unchecked contacts are processed Actions Group amp Maturity Lists The Action Lists and Group Lists are identical in behavior to the Call Lists You use the same methods in creating a Call List to build a list for Action and Group Campaigns We provide these alternative list folders simply
223. ob to show you how your current assumptions are in error in this case May proceed Sometimes people tell me that because they are too busy to deal with this sort of thing right now Is this a bad time to call May schedule an appointment tomorrow AM or PM Have said something that upset or offended you didn t mean to Let s start this again Hello my name is am here to talk to you about Do you have a moment to speak with me 11 7 PALM PILOT INTERFACE Broker s Ally has the ability to load Broker s Ally information into the popular Palm Pilot product to enable users to review contact information on their portable Palm device Connect your palm to the PC using directions for the Palm Pilot This function will provide you with instructions and procedures to follow for moving data into your Palm Pilot See Appendix L for detailed installation instructions 182 Broker s Allyl Datateed Figure 181 Palm Data synchronization with Broker s Ally Palm Inc manufacturers of the Pilot 183 CHAPTER 12 WEB AND WINDOW MENUS 12 1 WEB MENU The Web item on the Main menu provides you with Quick Web Connect to launch your browser from within Broker s Ally and access either of two sties 1 our help site for the Broker s Ally software and 2 the popular www BrokersAlly com portal for productivity advice tools and its web window to Wall Street and finance The BrokersAlly com portal provides valuable information
224. og for specific instructions 5 4 TAPI SETTINGS Use the TAPI Settings Telephony Application Program Interface command to setup your modem for automatic dialing You need to 1 Identify the Communications Port for your modem 2 Set the Speed to 2400 3 Enter your Phone Number 75 LI Win Modem Properties Figure 81 TAPI Setting Furthermore you should use the Options button in the Dialer dialog to setup dialing prefixes and suffixes for local long distance special long distance and international phone calls Choose Phone Dialer from the Tools menu and press the Options button Dialing Options The Dialer dialog has an Options button where you set up dialing procedures for various types of Calls 76 Dialer Options EJ Local Calls Pretix Local Area Code 215 Pretix a Sufix Suffix International Calls Access Code Pretix Po Sutfis E Special 4rea Codes Area Code 1 Pretix Po Du E Area Code A Pretix Po Suffis Area Code 3 o Pretix Po Du Zem Zem Long Distance Calls Area Code 4 Pretix Suffix Area Code 5 Pretis Suffis When Contacted Madem op IT Add to History cho Modern T Check List Item Cancel Eee D He T Popup Scheduler fan Figure 82 Dialer Options It allows you to enter your local area code so that all calls to your area code will be dialed as local numbers It allows you to enter dialing prefixes and suffixes that will be combined with pho
225. okmark Menu Commands Help Menu Commands Help Buttons Figure 194 Using Help 13 4 FINANCIAL TERMS GLOSSARY The Financial Terms Glossary is a help file full of industry specific topics The file has an alphabetical layout to help you quickly find the topic of choice Using the Help system s Edit Copy option you can copy selected text from the Financial Terms Glossary to the Clipboard From there you can paste the text into any other Windows application Specifically you can paste the text into a Broker s Ally letter note or custom report 192 Broker s Ally Glossary File Edit Bookmark Help Contents Ge Contents Accrued Interest Figure 195 Financial Terms Tip of the Day Every time you run Broker s Ally you will be presented with a Tip of the Day These tips will give you specific information related to the software The tips are designed to help you learn shortcuts to your software You can view all the tips at once by clicking the Next Tip button or you can read the tips as the are presented to you Once you have read all of the tips you can turn them off by unchecking the Show tips at startup box You can always turn the Tip of the Day back on from the Help Menu Tip of the Day 0 Did you know Broker s Ally will create a future date ina date field if you enter a number for the number days forward from today M Show tips at startup Figure 196 Tip of the Day What s New The What
226. ollar amount per unit Examples of multipliers Security Type Price Multiplier Quantity Income Multiplier o stock o A Ee 0 001 e The multipliers for a stock are 1 because the price and quantity need no adjustment for computation Since you enter Income dividend as dollar amount per share the Income Multiplier is 1 e Money market securities always have a 1 price and need no price adjustment Since you enter Income as a percentage we have to multiply it by 1 100 to obtain a dollar amount per share e Since you enter the face value of 1000 bonds for the Quantity we must multiply by 1 1000 in order to obtain the number of units Since you enter the percent of 1000 for the Price we must multiply by 10 to get the actual price per unit The Income value is also a percentage hence we multiply by 10 e Options are sold in groups of 100 units hence we multiply quantity by 100 to get actual number of units Note When you edit a Security Type you may see multiplier values represented in exponential format For example 0 1 1 e 001 0 01 1 e 002 0 001 1 e 003 You cannot change the name of a Security Type Asset Classes The Portfolio Valuation reports group results by Asset Class and present Asset Classes in the same order that you created them You should create Asset Classes and assign Security Types appropriately to each class in order to use these reports effectively Otherwise Broker s Ally will use a default ord
227. ommonwealth of Pennsylvania 9 ACKNOWLEDGMENT You acknowledge that you have read this agreement understand it and agree to be bound by its terms and conditions ACKNOWLEDGMENT Advances in technology often owe their creation to the synergy of ideas shared among a group of people With over 25 000 users in 36 countries the popularity and long term success of Broker s Ally represents a cumulative effort of many individuals over several years Each feature of the program has been carefully designed and elegantly programmed to provide great utility for the investment professional would like to acknowledge the significant contribution of Jim Briggs and the development support and advice of Gary Spivack and Sam Tatnall and the many developers contributing their expertise over time also thank our key staff for helpful ideas and support including most notably Karen Haggerty and Gisela Harkins Further the Help Desk services provided by Bill Kinney and his technical team enable our users to experience continuous uninterrupted service with the product Many thanks for User Manual and web site design coordinated by Jim Briggs for marketing and documentation production management by Tim DeMirjian and for our training services program supported by Karen Haggerty Special thanks to Sam Frederick Jason Olim Jeff Harbison John Koonz Steve Christiansen Mary Evans Dave Johnson Mike DiPuppo Steve Chance and all those who help bring us our f
228. ons ES Kimberly Walters Ci x Interests Account i Stocks Bonds Mutuals Services 1234 1235 Dividends Municipal Managed Education Owner asw Preferred V Tax Free Insurance Retire Data Source T Converts CHO l Annuities V Planning BIO Foreign Treasury Options TI T Syndicate IRA E E MUT M GSW Address Notes Interests User Fields Book Page Agenda E Figure 108 Flags Interest page In network installations each Interest label applies to all users unless you check the Local Definition box The system administrator can restrict access to some or all Interest labels in the setup dialog by not assigning Interest setup rights to other users The Interest definitions apply to all data sources but every user can have a different set of definitions for those Interests that are defined locally 107 User Preferences OF Cancel Quick Add Calculator Directores i E mail Data CEAD Letters CABASS Interests K E Envelopes Labels k Include Second Name Contact W Enable Exact Find kd Automatic Save W Display Find Contact List fe Include Company fe Insert Comma after City I Allow Account H changes T First Mame First Interest Labels Login W Autom Local Local Local Local wiss Def Det Def Det iz Stocks TI Bonds TI Mutuals Services Alert i Municipal TI Managed in Education Prefered Cycle Miri ke M
229. ontact menu The system will generate a list of all contacts linked to the current contact You can browse the list highlight a contact and click Zoom to view the contact s record Print There are four options on the popup menu under Print Envelope Label Quick Letter and Report Each option refers to the current contact Envelope The Print Envelope dialog allows you to set up Broker s Ally to print an envelope for the current contact You can choose the envelope feed method for your printer enter the dimensions of the envelope and select the font you wish to use Preview illustrates the size alignment and rotation of the envelope you have chosen You need to know how envelopes should be fed into your printer Envelope Settings Preview Envelope Dimensions width 19 5 Height 4 125 Type Com 10 Alignment f Left Cener C Counter clockwise rotation No Rotation C Rotate 90 degrees Ge Rotate 180 degrees C Rotate 270 degrees POSTNET Barcode Envelope is fed with flap up Printer Font Cancel Help Figure 122 Envelopes Settings 1 Check Envelope is fed with flap up if an envelope should be placed face down when fed into your printer Preview displays your selection 2 Inthe Dimension area choose an envelope Type or enter the dimensions of the envelope If you manually enter the Width and Height the envelope type will be called Custom 3 Under Alignment choose Left if
230. ontrol Panel Icon located in your main window group then double click on the Icon titled Date Time If your date and time become incorrect every time you turn off your computer your CMOS battery may need to be replaced Consult a computer technician Q sometimes get a message out of system resources try closing some windows What does this mean Every application you run on your computer takes up a certain amount of memory Broker s Ally has a protection device built into it to minimize problems on your computer due to low system resources 202 This protection will not allow you to open more contact records letters etc if your system resources or memory is too low To resolve this error close some of your contact windows or other applications that are running on your computer Q How do arrange for training for Broker s Ally Training is conducted either on the phone or at your location by appointment in either case Contact your Broker s Ally Sales Representative at 484 875 1710 for information and pricing Q What is the Platinum Service and Support Plus program that am hearing so much about The Broker s Ally Platinum Service and Support Plus Packs are designed for your long term support needs The popularity of Broker s Ally requires full time staff to be made available to your needs To relieve this backlog we have developed two special support programs for you Platinum Service Pack is our highest level support Bo
231. opriate Broker Number or Broker Numbers for the user To select multiple Broker Numbers hold down the Ctrl key while you click on each Broker Number You can also select a group of adjacent Broker Numbers by holding down the Ctrl key and dragging the mouse across the Broker Numbers To select all Broker Numbers in the list even if the list grows check the box marked All Broker Numbers Access to Info System administrators can allow users access to Lists Activities History and Marked Letters associated with other users If you do not want the user to see this type of information belonging to others make sure All Users is not checked and no items are selected in the Users list box To permit the user access to others information explicitly select their user ids in the Users list box or check All Users If you do not check All Users you can select at least five users 21 Access to Contacts gt Access to Info Broker Numbers ke All Broker Numbers All Users Add Broker Delete Broker Figure 17 User Configuration dialog Passwords amp User Names Anyone with the right to edit User IDs can assign a password to a User ID If you have checked the box marked Enable passwords in User Preferences each user having a password will have to enter his her correct password to log into the Broker s Ally system In the User ID dialog click on the Edit User button to change the password for a selected User ID Pass
232. options relating to the alert system Periodically Broker s Ally checks the database to see if you have any current alert events You can set the elapsed time between checks by changing Cycle Minutes An interval of 5 minutes or more will prevent too many notifications from intruding on your work Check Multimedia Sound if you have a multimedia sound board and want to hear something more interesting than a beep when the alert notification dialog appears Database Preferences Check Ignore No Mail to include all records when printing labels or mail merge letters The No Mail check box is ignored in contact records Check Docking Station to allow you to download from the Main data source on the file server to your PC You can then work with your data when disconnected from the network Later you can upload changes to the file server See Docking Transfer page 69 SQL Server Views Access Microsoft SQL Server tables through Views Broker s Ally implements views for SQL Server to guard against unauthorized access to database records when using other applications For more information about SQL Server contact you sales representative at sales brokersally com You must have the Login right to change this setting Check All Data Source Export Import Rights if all users in a network situation are able to use all data source types when creating new data sources exporting and importing This function will override the New Data Source Import Export privil
233. or Changes since BA will import only the data records that have been entered or last changed on this date or more recently To import all data records erase the date Click OK In the next dialog select the contact file for the import database o NI 64 Update Rules Every data record has an associated date and time when it was last edited It will be updated only if the last edit date time of the import record is more recent than the last edit date time of the target record Furthermore every contact data record has a last edited date for each group of fields The fields in each group are updated only if the last edit date is the same or more recent in the import record The field groups are NAME All name fields and 2ndName NickName SS Taxld ADDRESS Company Address City State Zip Country Carrier Route PHONE WorkPhone WorkExt HomePhone AltPhone AItExt FaxPhone ACCT OpenDate Status Owner Secondary Rec Account INFO Birthday Flags Interests Rating SourceKind Source Comment NoMail USERFIELD User Fields LINK Link information You can minimize the time required to import data by entering the most recent possible date for vi Changes since and selecting only Import new Searching for records to update is slower than WI searching for new records only Export Broker s Ally allows you to export a selected data source or portion thereof via the Export menu option in either ASCII or Broker s Ally
234. or Histories regardless of the due date make no entries for the Date Range If you enter a From date Activities from this date forward will be moved If you enter a To date Activities up to and including this date will be moved Enter both From and To dates to 72 specify the first and last dates to be included in the move For Histories the date range applies to completion date rather than due date 6 Push the Start button to begin the transfer of selected Activities or Histories from one user to another To delete Activities 1 Select the Delete button 2 Select the user who currently owns the Activities or Histories in the From User list box 3 To erase all types of Activities or Histories make no selection in the Activity Types list box Otherwise select one or more activity types 4 To erase all Activities or Histories regardless of the due date make no entries for the Date Range If you enter a From date Activities from this date forward will be erased If you enter a To date Activities up to and including this date will be erased Enter both From and To dates to specify the first and last dates to be included in the delete operation For Histories the date range applies to completion date rather than due date 5 Push the Start button to begin the deletion of selected Activities or Histories Assign Delete Activities es K From User To User Activity Types ACTION CALL Figure 77 Global Assign Delete
235. or frequent and regular backups Many factors beyond the control of Broker s Ally can cause data contamination or damage e g power failures inappropriate imports or deletions and accidental erasures of critical files We strongly recommend that you establish a routine backup policy and follow it rigorously At the very minimum you should maintain three sets of complete system backups Rotate among them overwriting the oldest tape or disk set with the new backup This is called a three generation or grandfather backup scheme In most cases you will want to keep even more generations in your backup scheme Many companies keep a two tiered backup system recycling daily or weekly backup tapes or disk sets frequently while maintaining monthly copies for longer periods often years With any system it is imperative that you keep some or all of your backups off site either in a bank safety deposit box or other secure site to ensure its availability in the case a fire or other disaster that destroys your office 5 3 ODBC SETTINGS Broker s Ally database files are in the ACCESS database format in file ALLYWIN MDB However for a custom fee an Open Database Connectivity ODBC data source can be created for database management for your Broker s Ally data sources An ODBC data source must be registered and configured for Broker s Ally and you may use this option to view and change any ODBC settings Use the Help button in ODBC Data Source dial
236. or picture icons representing programs or groups of files To execute a command or start a program you simply point to it and click your mouse Windows does all the hard work A second feature of Windows is that it is Event Driven This means that it will switch from whatever it is currently doing to a new task you select with your mouse More importantly by using the event driven model Windows allows you to start virtually any process at any time Processes or controls that are incompatible with a current operation are simply not available shown as grayed out in Windows Broker s Ally is a robust Windows application and unlike more simplistic software is a MDI Multiple Document Interface application The MDI model allows you to have more than one task in progress at atime This means that you can open one or more contact windows in Broker s Ally while displaying a sales script or portfolio report without removing the contact window from the screen This is in contrast to the Single Document Interface SDI model utilized in less robust or less sophisticated Windows applications With the Broker s Ally MDI design you can switch between the windows by clicking on one or the other to make it the active window You can even start one specific process several times For example you could use the Find Contact command in Broker s Ally to display one contact s record and then use it again to find a second contact The two contact displays will appear in
237. ortel Metworks Cor 100 13 00 1300 00 Open Cost 271 DUU UU hikt EE E aaah Sort Onder View Security Transactions Cash 20200 00 e View Cash T t Buying Power 75885 00 i ea an Purchase Sale Income Address Notes Stock Split Shanes Im Shares Mut Cash In Cash Out Short Sale Closing Purchase Figure 28 New Screens to Support Trade Methods 590 00 0 00 0 00 O EZ Account 56965634 Oiwrer wos Data Source Records 3 Save Close 2 H Doing Trades Expanded Methods Book Page Agenda Our browser based Version Release can be hosted on our server or yours for corporate installations You can outsource Broker s Ally with our browser based version of Broker s Ally as a corporate option for multiple user installations using the powerful browser access method See www scherrerResources com and www WebaAlly com q Web Ally INTERNET ACCOUNT MANAGEMENT Fulfillment Export and Import If you use a fulfillment house or do bulk mailing and want to manage a sophisticated multi step marketing campaign consider this newly engineered feature for configuration to your firm mailings es Broker s Ally Portfolio version 8 16 for Jim Scherrer File Edt View Portfolio Maill Tools Web Window Help New Data Source jt eel Database Operations k Import ODBC Settings EE TAPI Settings GE Se Docking Transter Page Setup Global Chang
238. otal number of Calls and Contacts for today are displayed on the status bar and recorded in the database Use the Phone Tallies report to display the history of calls and contacts You can enter a phone number into the Dialer by any of the following methods 1 Click on the Work Home or Alt Phone button next to the corresponding phone number while in the Address page of the contact window 2 Click on Dial in the Contact menu and click on Work to dial the work phone number Home to dial to the home phone number or Alternate to dial the alternate phone number You can use this method while viewing any page of the contact window 3 Type Ctrl W to dial the work phone number Ctrl H to dial to the home phone number or Ctrl A to dial the alternate phone number You can use this method while viewing any page of the contact window 4 Highlight a phone number and click on Dial in the Tools menu or type F9 Use this method to dial a phone number in any field of any page of the contact window 5 Click on Dial in the Tools menu or type F9 and type a phone number into the Phone Number field Dialing Options The Dialer dialog has an Options button where you set up dialing procedures for various types of calls Whenever you fetch a phone number from a contact window additional information can be added to the phone number to dial it properly The Dialer Options dialog allows you to enter your local area code so that all calls to your area code
239. ource Spouse pop 2 9 1955 E xpenence Spouse sst 123 Income 100000 Spouse Employr PWC wedding Annin 8r 3071979 J biective Save Close us H Now 48 User Defined Fields for more data storage and sorting JJ Book Page Agenda Investment Goal Secondary Goal KR Risk Tolerance Records 3 Ce User Fields 1 16 User Fields 17 32 User Fields 33 48 Figure 5 User Fields Page Flags Interests Rating and Status There are four additional field types in which data specific to each record can be added and used later in the sort or selection process The Interest classification check boxes allow you to assign one or more of the 28 interest classifications to a contact You can assign your own meaning to each interest check box Flags contain key search or identifying words for each contact record You can assign a Rating to each contact using for example a scale ranging from 1 to 9 with 1 being the hottest The Status field defines where they are in your pipeline either as an unqualified lead prospect or current customer The data you enter in these four field types as well as the User Defined Fields can be structured to apply to your specific business needs 10 ES Hary Evans i el Interests Account W Stocks I Bonds I Mutuals I Services Municipa Managec Educatiu Prefered Owner Data Source Tax Free Insurance Retired M Converts M CMO Annuities
240. p amp Startup 1 5 Using Broker s Ally for Windows 1 6 Backing Up Your Data 1 7 Network Issues CHAPTER2 UPGRADING 23 2 1 New Features 2 2 Converting data and settings CHAPTER3 USING BROKER S ALLY 33 3 1 Add your contacts to the Broker s Ally Database 3 2 Schedule your contacts for Activities 3 3 Working with your Activities calendar 3 4 Campaign lists 3 5 Alerts 3 6 Send your contacts the information they requested 3 Keep track of your progress 3 8 Send your contacts marketing letters 3 9 Sales and Marketing Management with Broker s Ally 3 10 Coordinate your office into a Workgroup CHAPTER4 WINDOWS FEATURES 51 4 1 The Windows Display 4 2 Mouse 4 3 Resizing Windows 4 4 Menu 4 5 Running Multiple Applications PART2 REFERENCE CHAPTER5 FILE MENU 57 5 1 New Data Source 5 2 Database Operations 5 3 ODBC Settings 5 4 TAPI Settings 5 5 Page Setup 5 6 Print 5 7 Print Preview 5 8 Print Setup 5 9 Exit CHAPTER 6 EDIT MENU 79 6 1 Undo 6 2 Cut 6 3 Copy 6 4 Paste 6 5 Securities 6 6 User ID 6 7 User Preferences CHAPTER7 VIEW MENU 7 1 Find Contact 7 2 Add Contact 7 3 Quick Add Contact 7 4 Contact Menu 7 5 Activities Calendar 7 6 Schedule Activity 7 7 Sales Planner 7 8 Campaigns 7 9 Reports CHAPTER8 PORTFOLIO LEVEL 8 1 The Portfolio Menu 8 2 Portfolio Reports 8 3 Campaign Planner 8 4 Security Types and Asset Classes Setup 8 5 How to Use The Portfolio Version 8 6 Portfolio Terminology CHAPTERQ ADVANCED POR
241. part of its portfolio in options Option Income A portfolio that writes covered options on a certain percent of its portfolio Fixed Income A fund that normally has more than a certain percent of its assets in fixed income issues e g money market instruments bonds or preferred stocks Flags Flags are used to further characterize and profile a contact For example a contact may have expressed an interest in particular stocks and you might give them the following flags TEXACO INTEL or PECO Using this flag or handle you could then select all contacts with an interest in Intel for a mailing a letter You might rather choose to search the database by the security symbols you entered in the Broker s Ally posting book The number of flags you may enter per contact depends upon how many can fit in the 98 character storage string Each flag is stored with a separator character For example 14 flags with an average length of 6 characters can be entered 6 1 X 14 98 You can store an unlimited number of flags per database Each flag should be placed on a separate line in the Flags edit scroll box If you have entered more flags than the Flags box can initially display use the scroll bar to view the others Please Note Wildcards are power tools in searching When finding contacts or building lists you can use wildcards in the search expression for Flags Underscore _ is the single character wildcard while percent
242. ph Source Shows the Source Type and Source information for all contacts in the list State Zip Shows the Name Status Zip code and State for all contacts in the list Includes a graph Weekly History Report Number of activities you scheduled and the number of activities you accomplished for each Activity Type reporting on the previous week Sunday through Saturday Includes Goals you setup in User Preferences under User Info Includes graphs Label Reports When printing labels you should select a Label Form Sheet or Continuous before selecting a label report Choose Sheet for Laser and other page printers or choose Continuous for sprocket feed impact printers You can print labels from many different places within Broker s Ally For a specific contact select Labels from the Contact Print Menu For selected contacts you can use either a List 137 or the entire data source If you would like to print labels for a list you must first create the Campaign List Once the list is created while viewing the list click the Reports button and choose labels Brokers Ally supports several label form layouts e 1 x 4 two across e 1 x 2 6 three across e 1 33 x 4 two across laser e 1 4 x 4 two across dot matrix POSTNET Barcodes When printing labels you may add 5 or 9 digit ZIP Code POSTNET barcodes below the address on each label by selecting the POSTNET Barcodes option In order to make room for the barcode some add
243. port is the same as the Summary page of the Activities Calendar and shows all of your scheduled activities You can select activities falling within a range of dates and can produce a report for activities belonging to other users Activities Phone Report This landscape orientation report will show all of your activities for each day selected Each row includes the name of the contact three phone numbers the scheduled activity time and the activity description Address Phone Shows all important name address and phone number information formatted as if they were to appear on a large index card Company Status Shows Name Company and Status for all records in the list Contact Notes Shows all contact fields and as many notes starting with the most recent that will fit on a single page for each record in the list 136 Contact Work Sheet This portrait orientation report is similar to the Contact Notes report It displays all information for the contact as many of the most recent notes that will fit in the middle of the page and allows space at the bottom of the page for the users to write specific information on this contact If differs from the Contact Notes report by not showing Quick Letters in the notes area of the report and providing space for hand written Notes From Today Date Status This report shows the contact Name Status Open Date Last Contact date and Birth Date for all records in the list When you pho
244. r 295 95 To Order Call 484 875 1710 or e mail Sales BrokersAlly com For answers to any of your specific questions and to order call your dedicated account representative at Broker s Ally in their Philadelphia regional office at 484 875 1710 or e mail to Sales BrokersAlly com Our Corporate Team is Ready to Support You 214 Scherrer Resources Inc is a Pennsylvania corporation www ScherrerResources com and our team is led by CEO founder Jim Scherrer and includes application software developers web masters help desk technicians analysts and account representatives assigned to each of our licensees Help Desk Technician can be reached at 484 875 1705 or fax us at 484 875 1704 or contact Support BrokersAlly com for Brokerage and Banking Scherrer Resources Inc INFORMATION TECHNOLOGY SOLUTIONS 120 Arrandale Boulevard Exton PA 19341 484 875 1710 www BrokersAlly com 215 TABLE OF FIGURES Figure 1 www BrokersAlly com Software Support From the Main Men 8 Figure 2 Brokers Ally Startup SGre Gii a i a 9 Figure s Ml ome ne BV e Ee WEE 9 Figure 4 Sales Planner EE 10 Figure 5 User Fields e 10 Figure 6 FlagSand Interests Pag LEE 11 FOUS 7 CN 12 Figure 8 Auto Oaler ENNEN 12 Figure 9 Quick Letter found in the Notes Page E 13 FOE TOS ele A NEE 14 Figure 11 Pop up UE e EE 14 Figure 12 HeD MENU NEE 14 Figure 13 Display with several windows open Multiple Document Images ssnenennn
245. r the dividend can be added as a transaction The dividend is declared at a certain amount 150 per share to be paid in cash and tracked as a cash dividend or in additional shares of stock tracked in Broker s Ally as a stock dividend Broker s Ally can track the dividends which are usually declared quarterly or other extra cash dividends on a one time distribution in this manual method Plans are underway to make this an automatic process Earnings per share Sometimes downloaded with the market data information but not tracked by Broker s Ally Tracked as a corporation s net income after taxes and payments to preferred shareholders and bondholders divided by the number of outstanding shares of common stock Front end load In Broker s Ally a fee or sales charge incurred on the purchase of an investment annuity insurance policy mutual fund shares limited partnership units Sales charges incurred upon sale of the investment are called back end load Groups A collection of contacts grouped for a specific sales purpose Not to be confused with householding Householding The process of collecting all accounts in a family household under a single contact Handled in Broker s Ally by assigning multiple accounts to one contact Joint account One of the account types you can open for your clients May allow any one individual to make transactions or may require the consent of all co owners Linked Contact In Broker s All
246. r this means you cannot add notes or transactions for a contact before proceeding to add the next contact 114 Default Contact Data Interests Flags Education Foren Comments put Information into these fields which you would like to appear each time you add a record using the batch quick add process Salutation ie ti K Status Company Rating City Philadelphia State IPA SCH Source Type County Source Figure 115 Quick Add defaults When you obtain a list of prospects they generally have one or more common features If you have defined a Flag or Interest representing this feature you can preset it for Quick Add To seta particular value you must first define it via the User Preferences Quick Add option on the Edit menu Once you have specified the defaults you need only select the Quick Add Contact option from the View menu The new contact data will be pre filled with the specified defaults You can change the default values for a particular entry if they don t apply or you can skip the defaults entirely by selecting Add Contact instead of Quick Add Contact This allows you to create a standard set of defaults and use or skip them at will If you want to alter the defaults for the Quick Add option you must change them via User Preferences on the Edit menu 7 4 CONTACT MENU Once you have either added or found a contact record the Contact option is added to the menu
247. r Login option Enable passwords turns on the password system when checked You should enter passwords through the User ID dialog You must have the Login right to change this setting These settings affect all workstations on a network View Preferences You can control several features of the Broker s Ally display The Status Bar lists your total number of Contacts and Calls for the day the current date and time and your User ID The left portion of 88 the status bar displays help messages about highlighted menu choices buttons or other options You can hide the Status bar by unchecking this option in the User Preference dialog This will provide one additional line for the main Broker s Ally display area Unchecking the Toolbar check box removes the toolbar from the Broker s Ally display freeing up an additional line in the main window Please note that removing the toolbar from the display does not alter its contents The toolbar layout is controlled by the Toolbar setup button You can choose between Normal or Large toolbar buttons The large icons ti are twice the size of the normal icons EY actual sizes shown here Please Note e When creating a Normal toolbar you can choose from 62 available icons whereas you are limited to 31 available icons for the large icon toolbar The large toolbar icons are a subset of the normal icons not different e If you select the Large toolbar option in User Preferences before cre
248. r for corporate data or lead information 32 CHAPTER 3 USING BROKER S ALLY In this chapter we will discuss the ways that Broker s Ally makes your workday more efficient Broker s Ally is a powerful productivity tool that allows you to organize your schedule keep in contact with your clients track your progress manage wealth and create powerful portfolio reports We have built many features into Broker s Ally to manage a wide range of your activities 3 1 ADD YOUR CONTACTS TO THE BROKER S ALLY DATABASE The first thing that you will want to do with Broker s Ally is to add your contacts to the database There are two ways to add your leads prospects and clients to Broker s Ally Select View Add Contact and type your contact information into the contact record window After you click on Add to save the record you can add notes transactions or schedule the new contact for an activity Select View Quick Add Contact which differs mainly in that it proceeds directly to the next Add Contact screen after you click on Add to save the record Quick Add can also drop default data into some of the contact fields To set up the default data go to User Preferences and click on Quick Add The Quick Add method is faster for adding a group of contacts but does not allow you to add notes transactions or activities while adding basic contact data ES New Contact Name Ms amp IER Mary Evans fi Gen Account 2nd Name Open Date f Co
249. r s Ally database for duplicates before loading any new information Thus you can run this utility several times without fear of overwriting existing data or making duplicate entries You can stop the loader at any point and start again at a later time Broker s Ally Import utility You can import contacts notes activities history positions and security information from another Broker s Ally database The common files must be in the same disk directory as the contact and notes files You can import new contacts and associated notes etc and or update existing contacts and associated notes etc Similarly you can import new securities and or update existing securities Furthermore you can import information that has been entered or changed as of a specified date From Ta Import Type Data Source Asc Loader Broker s Ally Data vE Broker s Ally Data ve Broker s Ally Data vi Test Figure 69 Import dialog esch Select the data source type for the import database 2 Select Import new contacts if you want to import contacts that do not exist in the target database 3 Select Update existing contacts if you want to update contacts that already exist in the target database 4 Select Import new securities if you want to import securities that do not exist in the target database 5 Select Update existing securities if you want to update securities that already exist in the target database 6 Enter a date f
250. r the same time slot you will see only one activity However Broker s Ally will display a number in parentheses equaling the amount of activities scheduled for that time By clicking on the time slot a window will appear where you can view all of the activities scheduled for that time slot You can view activities that do not have an associated time in the No Time field To examine a different day select the Calendar Icon located at the bottom of the Activity Calendar window double click on a different day and the selected day will be presented You can quickly print your Activities Calendar by pressing the Printer Icon located at the bottom of the Activities Calendar window 121 GC Daily Activities Fri Nov 2 2001 Ho Time fesishie ole History 20 Iel Calendar Format Activites for iv SE Weekly C Monthly Summar ial Ie sl l Figure 123 Activities Calendar Daily View SIT Weekly Click the Weekly button to see the activities for the current week Monday through Friday This is an expanded daily view showing 5 days at atime If several activities are scheduled for the same time slot you will see only one activity However Broker s Ally shows the number of activities for the time slot in parentheses You can view activities that do not have an associated time in the No Time field To examine a different day select the Calendar Icon located at the bottom of the Activity Calendar window double clic
251. rce of product support is the Broker s Ally Help Menu While using Broker s Ally press F1 to obtain help on the current active window Most of your questions can be immediately answered somewhere in the Help Menu in this manual or on the www BrokersAlly com web site Within this manual you can locate information on a particular function either by locating the menu choice in the reference section or by looking in the comprehensive index Telephone amp e mail Support Product support is available by e mail to Support BrokersAlly com and by telephone from 9 00 AM to 5 00 PM Eastern time Monday through Friday except national holidays at 484 875 1705 Telephone support is free for the first 30 days after the original purchase of the software and is available for a fee thereafter with the Support Plus Pack Platinum Support Pack or a per incident support fee Free fax support is always available on a 48 hour turn around basis at 484 875 1704 Support Plus Pack and Platinum Support Pack The Broker s Ally Client Services Department offers two premium support subscription services for its customers First the Support Plus Pack provides you with instant access to toll free telephone help e mail and fax access and also a newsletter with tips for using Broker s Ally to its fullest potential Second the higher featured Platinum Support Pack provides you with toll free support hotline e mail and fax support the Broker s Ally newsletter and free bi an
252. rea on the page which is normally much wider than the note edit box Before printing you can select a different printer by clicking on the Printer button You may also select a different font or change the margins Since laser printers do not use the full width or height of the paper a 1 inch margin setting produces an effective margin of about 1 25 Flags and Interests Page Flags and Interests are two types of data fields that can be used to characterize your client or prospect The key difference between them is that Interest fields must be pre defined before they can be used while Flags are dynamic allowing you to create new flags on the fly Interests Interests are general search criteria used to specify a person s investment interests For example interests might be defined as Tax Free Blue Chip or High Growth You might also define interests as the types of stock your contacts have expressed an interest in such as Oil Computer Utility Up to 28 interests can be assigned to each contact record To apply an interest to the current contact s record simply click on the check box beside the appropriate interest If the interest no longer applies simply click on the check box again and the check mark will disappear To define your interest classifications you need to use the User Preferences option from the Edit Menu and select the Interests button You can assign a name describing the meaning of each of the 28 interest classificati
253. ress lines may be eliminated However Broker s Ally will retain all address information required by the USPS 1 Address Labels Prints mailing labels for the contact records in the list A contact record which has No Mail checked will not appear in the report 2 Marked Note Labels Prints a mailing label for each marked note and prints on an accompanying label as much of the marked note as will fit on the label Portfolio Reports Commissions This report will show all posting book commissions You can select commissions by Trade Date Range Posting Book This report will show all posting book entries for each contact in the list You can select postings by Open Date Range and or Close Date Range and or specific Ticker Symbols Realized Gain Loss This report shows closed positions for selected ranges of Open Dates and Close Dates in each contact s posting book Leave a date range blank to ignore the constraint For example you might enter a date range for Close Date but leave the date range for Open Date blank The report will include every closed position within the Close Date range regardless of the Open Date It details Quantity Symbol Open Date Cost Close Date Proceeds and Gain Loss It totals all numeric fields at the bottom of each contact s report You can also restrict the report to certain Ticker Symbols Securities This report will list all Securities showing Symbol Description Type Price Pricing Dat
254. rm below Activity For You can assign the activity to another Broker s Ally user by selecting a User ID from the Activity For scroll box By default the activity will be assigned to you Entered By Indicate which Broker s Ally user originated the activity by selecting a User ID from the Entered By scroll box By default you are the creator of the activity Description Enter a statement describing the purpose of the activity The Activities Calendar Contact s Agenda Alert Ally alarm system and history will be much more useful if you take the time to enter a description Contact You cannot edit this field It shows the contact associated with the activity if you schedule an activity while a contact window is active When you call up the scheduler while no contact window is active REMINDER appears in this field A reminder activity is not associated with a contact Type Initially Broker s Ally recognizes two kinds of activities CALL and ACTION You can select one of these from the scroll box or enter a new activity type such as MEETING at your discretion Further Broker s Ally remembers your previous entries for Type of activity and allows you to quickly select one of them By default Broker s Ally inserts CALL into the Type field Date and Time You must assign every activity a date and in most cases you should assign a time You must assign a time to the activity to have it appear in the Alert Ally database Bro
255. rrange all open windows in an overlapping stack from top to bottom left to right The order of precedence is determined by the order you last accessed the windows with the most recently accessed displayed on top Each window is displayed in a standard size overlapping the other windows as much as necessary The Cascade option is most useful for displaying a single window among a group of active windows at the same time while allowing you to switch from one window to another simply by clicking on an overlapping edge 53 Find Contact Find Contact Find Contact B Find Contact Mame fsan tk fisar iFirst m aa fiGen Account nd Mame Open Date f Company Last Contact f Deira Dwner Data Source Address Status F Huer City State f lt a zip Country f Carrier Boite T No Mail Work I ext Home Prone Humbe Addesses Fas SCH Comments l Close SA zal a Address Hotes Interests User Fields Enok Sec Agenda Figure 55 Cascaded View The Tile option on the Window menu will arrange all open windows in equally sized rectangles set side by side When the tile option needs to reduce the display area of a window to fit it will crop the window and display scroll bars to allow you to move the image in the resulting window The tile option places the most recently activated window in the top left position and then arranges the rest down and to the right in the reverse order of acti
256. rt 137 Split Shares 81 Securities Descriptors 27 Securities Master 157 Security Types 144 Sending e mails 26 Setup User Preferences 86 Skip Checks List View 134 Source 109 Report 136 Source Type 109 Spell Check Letter Writer 171 Split Shares 81 SQL Server 58 Standard Reports 135 Account Company 135 Activities 135 Address Phone Card 135 Commissions 137 Company Status 135 Contact Notes 135 History 136 Last Contacted 136 Marked Notes 136 Notes 136 Phone 136 Phone Tallies 136 Posting Book 137 Rating Status 136 Realized Gain Loss 137 Securities 137 Source 136 State Zip 136 Unrealized Gain Loss 137 Weekly History Report 46 94 State Report 136 Status 100 Status Bar 88 Stopwatch 178 Subscript Letter Writer 167 Suitability 109 Superscript 225 Letter Writer 167 Support Plus Pack 7 204 Sweep 38 T TAPI Settings 75 Tax Lots 29 160 200 Telephone 175 Time Billing 178 Tip of the Day 9 193 Toolbar 88 Letter Writer Align Paragraph 172 Bold Italicize Underline amp Strikeout 172 Line Spacing 172 Text Color 172 Text Font 171 Text Point Size 171 Letter Writer 171 Setup 88 Tools Menu 175 Trade methods 27 Transaction Close 112 Open 112 U Undo 79 Unique Files 58 Unique Files 58 Unrealized Gain Loss Report 137 URL 24 User Add 83 Configure 83 Delete 83 Edi
257. s Wed Feb 5 1997 at 11 05 AM Delete Accomplish Show Type ACTION D APPT 8 CALL T MEETING MONEY NIE z I History Activities for Zen Close Calls 0 Contacts 0 Tue Mar 18 199 02 39PM MGR Figure 183 Window Menu o Broker s Ally Portfolio Version 6 51 for Gregory S Walters File Edit View Portfolio Mail Tools Window Help KO DEI EES ER KEN B Kenneth Armstrong bs CONTACTS 24 Mie x Stanley Adams od CONTACTS 61 TL sl BIRTHDAY BAL A Ti Ee Diane Black amp Daily Activities Wed Feb 5 1997 at 11 05 AM 11 05AM Douglas Allen CALL SI TOA 2 Douglas Allen CALL 12 00PM 1 00PM 2 00PM 3 00PM D 20 20 20 20 MONEY NIIF History Zoom Calendar Format Activities for c Day CWecky Monthly C Summa D Gil For Help press F1 Figure 184 Cascaded View Calls 0 Contacts 0 Tue Mar 18 1997 02 32PM MGR 12 3 ARRANGE ICONS The Arrange Icons option on the Window menu will arrange the Icons for all minimized windows in a row along the bottom of the main Broker s Ally window The Arrange Icon option is particularly useful for retrieving lost icons that have become overlaid by other windows 185 o Broker s Ally Portfolio Version 6 51 for Gregory S Walters File Edit Contact View Portfolio Mail Tools Window Help I 6 EEE EE dE GE Name Miss af Betty ss Baker TI Account A E EN 1241 8839 Company PRIME PROPERTIES
258. s Ally is shipped with one Privilege Level Level 3 which has all rights permanently enabled but the manager can create other Privilege Levels with any combination of rights The manager then assigns one of these Privilege Levels to each user Choose the Configure button in the User ID dialog to go to the Broker Numbers dialog Then choose Edit Levels to create or edit Privilege Levels To select multiple rights hold down the Ctrl key while you click on each right You can also select a group of adjacent rights by holding down the Ctrl key and dragging the mouse across the rights Level 3 users have access to all records and all operations which include setting passwords deleting data sources and importing or exporting records Itis a suitable mode of operation when only one person uses the program In network applications it is the recommended mode for the manager and deputy managers Broker Numbers The manager can assign to each user one or more Broker Numbers which is usually the number assigned by a brokerage firm to that broker When one of the Broker Numbers matches the entry in the Owner field of a contact record the user may access the contact Incidentally a user can access any contact record having a blank Owner field since it is considered free and available Choose the Configure button in the User ID dialog to go to the Broker Numbers dialog Use the Add Broker button to add a Broker Number to the list Select highlight the appr
259. s to ensure that any person under your control or in your service does not violate the provisions of this license 3 BACKUP You may make copies of the program solely for backup purposes You must reproduce the copyright notice on each copy 4 COPYRIGHT The program and its documentation are copyrighted All unauthorized software copies are in violation of this agreement Duplication of the written documentation is not permitted 5 TERM This license shall remain in effect until you terminate it by returning the software documentation and all copies thereof to Scherrer Resources Inc This license shall be automatically terminated upon the failure of Licensee to comply with all the terms of this License Agreement 6 WARRANTY This program is provided without warranty as to contents However should the distribution diskettes or CD s be defective Scherrer Resources Inc will replace it within one full year from the date of purchase Scherrer Resources Inc does not warrant guarantee or make any representation regarding the use of or results incurred through the use of this software 7 DISCLAIMER Scherrer Resources Inc will in no way be liable for indirect incidental or consequential damages including loss of income use or information as a result of using this software Nor shall the liability of Scherrer Resources Inc exceed the amount paid for the software 8 GOVERNING LAWS This License Agreement shall be governed by the laws of the C
260. s use special Lists you will not choose a List for these reports If you do not check Use a List the report will use all contacts in the data source you choose 4 Select Print or Preview Print sends the report to your printer whereas Preview sends the report to temporary files and then displays the report on your computer screen lf you choose a report that requires a list Broker s Ally will send you to the List dialog At this time select a specific existing list or create a new one then choose View List In the View List dialog you can choose Print or Preview to proceed with the report 135 Reports Available Reports Type Ge Standard C Labels Portfolio Account Company Activities Activities Detail ActyitiesPhone Address Phone Company Status Contact Work Sheet Contact Acthvities Motes Contact Nokes Dates Status History H Directory C BA8 Enable Printer Setup Preview Cancel Figure 135 Reports Dialog Broker s Ally comes with many pre defined reports parceled out into three categories Standard Labels and Portfolio reports You can produce the Marked Letters report only from the Marked Letters dialog on the Mail menu The specific reports are as follows Standard Reports Broker s Ally comes complete with several pre designed report formats Account Company Shows Name Company and Account number for all records in the list Activities This re
261. sed There is one record per contact in this table that will track the cash available in a contacts account This record is automatically updated whenever a transaction has a cash effect Transaction Types The system now supports an extended list of transaction types with each type defined in terms of how it affects the tax lots These effects on the tax lots are called the attributes of the transaction The system defines all transaction types according to a list of attributes These attributes include cash effect quantity and cost effect and lot effect The attributes of each transaction type listed below Purchase Cash In Sale Cash Out Stock Split Short Sale Dividends Closing Purchase Interest Earned Stock Dividend Interest Expense Spin Off Short Term Capital Gains Taxable Exchange Distribution Long Term Capital Gains Tax Free Exchange Distribution 153 Reinvested Dividends Maturity Reinvested Interest Redemption Reinvested ST Cap Gains Call Distribution Reinvested LT Cap Gains Corporation Name Change Distribution S Shares In Paydown Shares Out Return of Capital Conversion The transaction types with an asterisk are considered global transaction types because they are corporate actions that affect all holders of the security The system supports this by providing a way for the transaction to be recorded in the accounts of all contacts owning the security The system also allows the entry of t
262. send you information on specific stocks or bonds which might be of interest to you in the future I d like to confirm your mailing address in orderto dothis Is it read it to ther Tam not interested in upsetting your current relationship with a broker but in complementing those activities ina way that would offer you greater depth of professional Figure 180 Script Editor Here is a sample of a Sales Script WE RE NOT INTERESTED 1 2 3 4 Why aren t you interested am interested in knowing why you are NOT interested At first you may feel you are not interested But if you give me 30 seconds to explain something just may be able to help you with one of your problems May proceed You can t be interested until do my job which is to demonstrate how this investment opportunity can help you Specifically this investment may help you by Will you give me a moment to further clarify this You aren t interested We rarely hear that You are not interested must have gotten your name from the wrong list Are you in the business of Then according to our research you are a PERFECT candidate for our offering At first others felt the same way Then after a bit of discussion they felt differently Would you like to learn what you could gain from this investment You have made an incorrect assumption about this investment It is based on a set of ideas that you have gathered from previous experiences It is my j
263. source or a List for Mail Merge Run the Broker s Ally Mail Merge Wizard found in the MS Word menu 1 On the first screen of the Mail Merge Wizard select Letter Labels or Envelope 2 On the second screen select a Broker s Ally Data Source and either The Whole Database or A List From Broker s Ally 3 Choose your Login ID and enter your password for the Broker s Ally system 4 If you chose a list select a type of list and a particular list on the third screen 5 Click on Finish to create an empty mail merge document To insert a Broker s Ally merge field into your document click on Insert Merge Field 1 To insert a Word merge field into your document click on Insert Word Field Other Word merge fields are found on the menu under Insert Field 2 Fora letter type in the text of your letter 3 Save the document The merge fields text and data source information are saved in the document 196 4 Toprint the merged documents click on the Merge to Printer tool bar button Letter Tutorial Use the following example as a guide Before starting we recommend that you select a Word option to help you distinguish merge fields from text when viewing your document Select Tools from the menu and click on Options View Select Always for Field Shading This will cause merge fields to be highlighted in your document 1 Select Broker s Ally from the menu and click on Mail Merge Wizard 2 On the first screen select Letter an
264. ssneeennneresesrsnn 16 Figure t4 Tne VIEW d EE 17 Figure 15 The Broker s Ally Toolbar with Tool Tue 17 Figure 16 Multiple Contac e EE 18 Figure 1 7 User Contiguration dialog EE 22 Figure 18 Help Menu for learning new Broker s Ally V8 features 23 Figure 19 Help Search dialog BEE 24 Figure 20 Internet Access from Main Menu A Quick connect to Brokers llv com sssssssssssesnsrennn 25 Figure 21 User Definable Fields Expanded up to 48 fields on 3 quick acceSS Daddes 25 Figure 22 New Fields for e mail contacts important dates amp oddresees 26 Figure 23 Notes Page Expanded New fields to categorize notes send and store e mail 27 Figure 24 Security Transaction Ledger and Cash Transaction Ledger ccceeeeeceeeesseeeeeeeeees 28 Figure 25 CUSIP and Descriptor Fields Added aussure aa a 28 Figure 26 Holdings Ledger New Sort Order Expansion all Tunchonaltv 29 Figure 27 Tax Lot Selection Biel 29 Figure 28 New Screens to Support Trade Methode n0000nnnnn0n00annnnnnneennnnnnnnnnnnnnnnrnnnnnnennnnrrerreennene 30 Figure 29 Fulfillment House Export Functionality ee ecccsseeeeeceeeeeeeeeeeeeeeeeeaeeeseaaeeeesaaeeeeessaeeeeeeas 30 Figure 30 Converting and Importing Contacts from earlier versions of Brokers Aly 31 Figure 31 elek Contact ScreGN EE 33 Figure 32 Schedule Call Or Action Dialog EE 35 Figures gt Sales Planner EE 35 Figure 35 Activities Calendar shown in
265. st backup that single file n prior versions these data was distributed among all files with DBF MDX and DBT file name extensions 22 CHAPTER 2 UPGRADING 2 1 NEW FEATURES This chapter is aimed at users who are migrating from previous versions of Broker s Ally and you can use this chapter to get up and running quickly with Broker s Ally v9 Also within the software itself you can learn all that is new in version 9 under Help Contents Whats new in version 9 0 2 Broker s Ally Help File Edit Bookmark Options Help e e Broker s Ally for Windows Help a Figure 18 Help Menu for learning new Broker s Ally v9 features The Help system provides reference information on all Broker s Ally tasks You can jump from one Help topic to a related Help topic quickly and easily When you re using Broker s Ally Help is just one keystroke away F1 Use it often to learn about Broker s Ally To get help on a specific window press F1 To see other topics click on Search and then 1 Type the first few letters of the topic you want to search for As you type Help displays new keywords in the list box 2 Double click a keyword related to your subject or select a keyword and press Enter Help displays the relevant topics for that keyword 3 Double click your topic or select the topic you want and press Enter 23 Help Topics Broker s Ally Help Indes Find 1 Type the first few letters of the word you re
266. suitable to their specific needs To define one of the User Fields select the User Fields button from the User Preferences dialog Specify the descriptive name of the field it s type text string number or date and only check Remem Resp if you want all data entries to be remembered After you have defined a field you can enter data into the field for new or existing contacts 110 User Preferences KS User Field Defimtions E4 1 16 17 32 33 48 Local A emer Local A emer Def Field Name Type Resp Dep Field Name Type Resp 1 NetWorh Number zl Marital Status Jong M Occupation String slk 10 p SpouseName Sting E C M income Juste zl 11 CC Spouse Birthday Date lf WER ENEE Ce KSC favre SI CC Retirement Date Date zl 913 p Associations Sting M SR ECTS RE ECH SR ros ep ir Jsecretay sting AO we Cl wr Figure 110 User Field Setup dialog In network installations each User Field definition applies to all users unless you check the Local Definition box The system administrator can restrict access to some or all User Fields in the setup dialog by not assigning User Field setup rights to other users The definitions apply to all data sources but every user can have a different set of definitions for those User Fields that are defined locally If you decide to change the meaning of a particular field you must aware that changing the name only changes the label of the field not its co
267. t 83 User Fields Setup 92 User Fields Page Contact View 109 User ID 21 81 User Info User Preferences 93 User Name 22 User Preferences 86 Alert 89 Calculator 91 Database 86 Directories 87 W Envelopes Labels 87 Quick Add 90 What s New 193 Quick Add Defaults 114 Wildcards 108 User Fields 109 Window View 88 Arrange Icons 185 Cascade 184 Close All 186 Menu 185 Open Windows List 186 Word Processor 162 www BrokersAlly com 1 7 8 24 25 31 184 V Valuation Monitors 112 View Activities Calendar 120 Add Contact 98 SE Call Lists 129 Campaigns 129 Z Find Contact 95 Menu 95 Zip Quick Add Contact 113 Report 136 Schedule Activity 124 Zoom Activities Calendar 120 124 Find Link 119 List View 133 226 Broker s Ally Customer Management and Portfolio Reporting For Investment Professionals User Manual END for Brokerage and Banking Scherrer Resources Inc INFORMATION TECHNOLOGY SOLUTIONS 74 Pottstown Pike Eagle PA 19480 0207 484 875 1710 Sales BrokersAlly com Support BrokersAlly com Fax 484 875 1704 htto www BrokersAlly com Broker s Ally Version for Windows
268. tal 2000 20 342 00 2003 2759375 2008 35 175 00 2011 5587500 2026 33 950 00 172 935 75 FPereent of Total by matot Tzar Figure 142 Bond Maturity Distribution Report a Client Report 144 B Preview Unrealized Gain Loss J IO IO Total 9 3f 4 97 4 36 17PM Unrealized Gain Loss 1 Open Date Range calb Baker Betty J Account 1241 8839 Kelly Oil amp Gas Parimers Market Price 13 000 Quantity Syrabol i Open Art Mkt Value Mkt G L GL 300 000 2475021 1 04160 300 000 3 900 00 1 04160 Archer Daniels Midland C Market Price 22 375 Quantity Syrabol i Mkt Value Mkt G L 210000 ADM 210000 469375 Burnham Pac Pptys Inc Market Price 12 250 Quantity Syrabol i Mkt Value Mkt G L Bn GIL 300 000 BPP 2 295 30 300 000 3 675 00 2 295 30 Commercial Fedl Corp Market Price 25 630 Quantity Syrabol i Mkt Value Mkt G L 200 000 CFCH 200 000 5 126 00 360 80 First of Amer Bank Corp Market Price 34 625 Quantity Symbol i Mkt Value Mkt G L GL 100 000 FOA e s V 641 50 100 000 be 641 50 LESCO INC Quantity 300 000 300 000 430000 Maxxim Medical Inc Market Price 13 250 Quantity Symbol i Mkt Value Mkt G L iL 300 000 NAM f 1 708 90 300 000 5 683 90 397500 1 703 90 30 1 St Paul Bancorp Inc Market Price 22 250 Quantity i Open Arat Mkt Value Mkt G L Figure 143 Unrealized Gain Loss Report a Client Report 8 3 CAMPAIGN PLANNER The purpose of the campaign planner within the Portfolio Menu is organ
269. tallation proceeds quickly please have your user license information available at time of installation including your license number name and address so that you may enter it at the screen prompts Network Installations The Broker s Ally network version will need to be installed on each workstation You will need to set up a directory on the network server as a location for your Broker s Ally data files If you are on the server create a directory by going into your file manager and creating a new directory Once the directory is created on the server you will need to install your new Broker s Ally version 8 on the desktop workstation called the client in a client server installation Insert the CD into the drive and it will auto run Accept the defaults until you get to the new Data Source Set up screen after the application has been installed While creating the data source name usually Main Database or ALLYWIN MDB change the file name location to your server location drive and path For example F ba9 main where F is your network server hard drive This will create name and configure your Broker s Ally data source There is a single file which contacts all the database information ALLYWIN MDB For reference IN prior versions all the database files end in one of three extensions dbf mdx and dbt The database files are created at installation time and then filled with data upon importing data from previous versions or typing th
270. tart Indicates the number of days from the date on which you applied the plan Please Note This dated is taken from the computer clock If the planner does not enter in the correct information check you computer clock for accessory Time You must assign a time to the activity to have it appear in the Alert Ally database You can double click in this field to select a time from the time dialog 128 Duration To allocate a block of time for an activity enter the length of time in minutes Duration is useful only when you have specified a time for the activity The Daily and Weekly Calendar will show the same activity more than once if the Duration is greater than the time slot size Alarm You may set an alarm to notify you when the activity comes due Simply click on the check box labeled Activate alarm when activity comes due You may also set an Alarm Lead in order to notify you a specified number of minutes in advance of the scheduled time Once all information has been added to this dialog press the Add button Press the Add button again to describe and schedule the next step in your plan The date from start number defaults to one day after the previous activity This field can be edited For example you may delay 5 days after sending out a letter to a prospect In this case you would put a 6 in the Days From Start dialog Continue to add steps until your plan is complete You may edit any previously added Activity by highlighting the a
271. tations e g Mr amp Mrs First Name Middle Initial Last Name and Suffix e g Jr You can enter a second name or title on the next line followed by a company name and two lines of street address City State and Zip code are broken out into individual fields This allows the program to sort and select data based on any one of these fields For this to work you must not enter the city state and Zip code on the second line of the street address If you only need one line for the street address place it on the first of the two lines and leave the second line blank A blank line will be ignored when printing labels and envelopes You can also enter a country for an international address and a carrier route code for bulk rate mailing While most individuals don t know their own carrier route code let alone the codes of their clients it is possible to have the U S Postal Service update your addresses at no cost adding the specific carrier route code to each address Finally the Address page accepts up to four telephone numbers a work number a home number an alternate number and a fax number ES Hew Contact Name Sany g fisar iFirst Jil files fGen Account 2nd Name Open Date f Company Last Contact f Seay Owner Data Source Address ee T tiere Rating f i Dates Test City State E SE D County f Carrier Fioute T No Mail Work I ext Hom Erare umien Addiess Add Comments nee L ZS SE
272. te button Paste inserts the chosen response at the cursor location in the edit box and does not replace existing information Notes Page The Notes page is where you enter dynamic text information about the contact typically notes of conversations Each note is time and date stamped with the current system time and date and the sequence of notes for a particular client or prospect shows the history of your dealings with that individual The time and date stamp is automatic when pressing the New button You can use the Notes page to enter summaries of phone calls or meetings with your client or prospect You can 102 even create and print a short business letter called a Quick Letter that is stored along with your other notes Unlike the Comments field the text for which remains constant Notes for a contact generally accumulate over time unless you delete a note that is no longer relevant The Notes page uses a simple text editor and provides automatic word wrapping You can use the Cut and Paste commands from the Edit menu or Drag and Drop but you do not have access to the word processing features of the Letter Writer When entering a new contact you cannot go to the Notes page until you click the New button You can then click the Notes button to enter notes Jim Scherrer SatJan 12 2002 3 77 PM Orgnr MGA Account Printed This area is called the note pad E ach note i automatically date and time stamped shown above T l
273. te for the data source selected usually an Access database format Broker s Ally data are nearly all in one file entitled BAWIN MDB lf you want to place the data source files in a directory other than that defined in User Preferences you can include a drive and path as part of the file name definition Broker s Ally will use the specified drive and path as the location for the new data source For example if you type C DATA TEST the contact data file TEST and other related files will be created in the C DATA directory Once you have entered the required file name with optional path and text description and selected the Data Source Type click on OK to create the data source 5 2 DATABASE OPERATIONS File Edt View Portfolio Mal Tools Web Window Help New Data Source eel eel uel eal ko T T Database Operations Import Export ODBC Settings Sapo TAPI Setti Download SE Docking Transfer p Page Setup nas Global Changes Erit hale alobal Larges l l Fulfillment Eint BESIEN Print Setup Delete Data Source Maintenance Exit Figure 64 Database Operations Menu The Database Operations option on the File menu controls file transfer and file manipulation The first two options Import and Export allow you to move data into and out of Broker s Ally Broker s Ally can import and export data from a variety of file tyoes The Download option specifically imports security pri
274. te the three possible states for a window 1 The Program Manager s window is Maximized expanded to utilize the full desktop 51 2 The group Icons are Minimized reduced to a single icon 3 The Group Windows are Resizable you can expand or contract them to any desired size or shape and place them anywhere within the Program Manager s main window their parent window Bee zem thii op i ler a The rtemet Figure 54 Windows display 8 4 2 MOUSE In Windows you will use a mouse or another pointing device i e track ball joystick or a light pen to communicate with your computer system The mouse controls a screen pointer that usually takes the form of a hollow arrow oi If you do not have a mouse or any other pointing device it is still possible to use Windows through the keyboard However because Windows has been designed to work as efficiently as possible with a mouse some keyboard commands are awkward and inconvenient to use In order to get the most out of Microsoft Windows a mouse or another pointing device is essential Using the mouse involves positioning the pointer X on the screen and signaling an action by pressing the left or right mouse button You can Click Double Click or Drag amp Drop with your mouse Click Position the mouse pointer over the desired area of the screen and press then immediately release the button Double click Position the mouse pointer over the desired ar
275. tern Matching 97 Performance Reporting 24 29 160 200 205 Pershing Download 68 Pershing Data Download 68 Phone Report 136 Phone Dialer 175 Phone Tallies Report 136 Portfolio Reports Bond Maturity Distribution 140 Transaction Schedule 140 Portfolio Reports Large Positions 140 Portfolio Rank 140 Portfolio Valuation Detail 140 Portfolio Valuation Summary 141 Securities by Type 140 Postal Service U S 99 Posting Book Report 137 POSTNET Barcodes 137 Preferences User 86 224 Print 78 Contact 119 Envelope 119 Labels 136 Preview 78 Quick Letter 106 Setup 78 Privilege Level 21 84 Rights 84 Program Installation 15 Prospect 100 Q Quick Add Contact 113 Quick Add Preferences 90 Quick Letter 104 Merge Codes 105 Print 106 Setup 105 R Rapid Find 98 Rating Report 136 Rating 100 Realized Gain Loss Report 137 Remembered Responses 101 Reminder Activity 35 Replace Letter Writer 168 Reports 134 Custom 162 List View 133 Weekly History 47 Reschedule 39 Ruler Letter Writer 172 S Sales Planner 9 35 126 Sales Scripts 181 Save Letter Writer 164 Save As Letter Writer 164 Schedule Activity 34 124 Scientific Calculator 178 Scratch Pad 181 Search Letter Writer 167 Search amp Replace Letter Writer 168 Search Logic 41 130 Secondary Record 109 Securities 80 Change Symbol 81 Repo
276. th this and the Support Plus Pack provides you with instant access to a Broker s Ally support technician and a newsletter with tips and tricks for using Broker s Ally to its fullest potential First the Support Plus Pack provides you with a toll free 800 support hotline This hotline will be your instant pipeline to a qualified support engineer every time you pick up the phone Secondly you will receive the The Ally Newsletter which is a detailed newsletter that is full of tips and techniques on how to make the most efficient use of Broker s Ally It will highlight the powerful and often overlooked features of the program The Support Plus Pack virtually eliminates costly down time due to problems with your Broker s Ally Program or your computer system itself Without the instant access to a qualified support engineer you may lose a couple of hours of productive prospecting Order the Support Plus Pack and you ll get unlimited access to our quick response toll free hotline This means if you ever have any questions about Broker s Ally a friendly and knowledgeable support representative is never more than a free phone call away Most users who sign up for this service find it absolutely invaluable Broker s Ally Support Plus Pack annual fees are dependent on the Broker s Ally level in which you currently own See the Support Plus Pack sign up form for the annual subscription fees 203 APPENDIX F SUPPORT PLUS PACK SIGN UP Yes Sign me
277. that hour learning anything you wish from database management to word processing to application functionality This special custom telephone training is very focused and efficient resulting in quick learning and understanding Whether you wish to learn about Windows functionality or special software tools or desktops notebooks or networks your Telephone Training Service representative can help you This service is designed to help you be more efficient better organized provide advanced account management and result in greater business profitability Telephone Training Topics In discussion with your Broker s Ally sales representative you can tailor a Telephone Training program to fit your needs It could be one hour in duration or more depending on your needs Candidate topics include 1 Software Installation Adding Records Writing Letters Entering Transactions Teaching Sales Assistants Network Features Importing and Exporting Data Advanced Training Topics Soo eS Obtaining Telephone Training Simply contact your Broker s Ally sales representative and discuss a plan that will fit your needs You may want a single trainer for one hour a half day a full 8 hour day or you may want to train by conference call This close one on one training will be very valuable to you Whatever your needs simply call your Broker s Ally sales representative at 484 875 1710 and ask for Telephone Training Services or contact Sales
278. the Portfolio menu You will see the most commonly used aspects of the Portfolio version right on the menu Broker Reports internal review reports and Client Reports those suitable for presenting to clients Maturing Product Campaigns and the customization and Setup for security types and asset classes for reporting We will discuss each menu option in top down order 8 2 PORTFOLIO REPORTS Available Reports Commission Summary Ip Large Positions i Standard Large Positions Detail Portfolio Rank Labels Securities by Symbol Posting Hook Securities by Type Security Cross Reference Transaction Schedule Directory C BA6 IT Use a List Data Source AM AIEE EFH Prospect Database l Enable Printer Setup Preview Cancel Disclaimer Help Figure 137 Broker Portfolio Reports The first option shown under the Portfolio menu is Broker Reports a collection of reports for internal use by a broker These reports can be previewed or printed by selecting a report name from the Reports dialog and clicking on Preview or Print The names of all the reports are shown in the dialog box above The second option shown under the Portfolio menu is Client Reports which give details about specific accounts and are suitable for distribution to clients The list of Client Reports is shown below You can select and print them in the same way 140 Available Reports Bond Maturity Distribution TPE Portfolio Yaluation Detail Standar
279. the only User ID allowed you are the manager as well as the sole operator of the program The Network version of Broker s Ally allows the manager to create or change User IDs in the User ID dialog accessed from the Edit menu 20 In the Network version of Broker s Ally the manager must create a different User ID code for each person using the system Be sure that only one person uses a given ID at atime Before assigning User ID codes you should understand how the Privilege Level associated with each User ID determines how Broker s Ally will work for that individual Every User ID code has an associated Privilege Level list of Broker Numbers a user s name and an optional password Each Privilege Level comprises a set of rights that determine the scope of a user s ability to perform operations in Broker s Ally The associated Broker Numbers limit the user s access to contact records having one of the Broker Numbers in the Owner field or to records with a blank Owner field Conflicts can arise if two or more people login under the same User ID at the same time T Privilege Levels Broker s Ally allows the manager to control many of the operations a user can perform such as which fields the user can change in a contact record The manager can prevent a user from changing User ID information User Field definitions scheduled activities etc A combination of rights to do certain things in Broker s Ally is contained in a Privilege Level Broker
280. the pipeline track their investments such as stocks bonds annuities mutual funds asset purchases and sales manage portfolios and account for changes in positions and track commission and fee based business create and send mail track all contact with your clients including correspondence telephone calls and meetings You can use it to create and track promotions and maintain a record of your client s instructions and preferences Broker s Ally will also help you prioritize and manage your time It will help you to make sure that you do not miss key dates or appointments and help you 8 manage your business instead of your business managing you Below we have listed some of the major features of Broker s Ally Broker s Ally CLIENT AND PORTFOLIO MANAGEMENT copyright 1965 200 Scherrer Resources Inc Warning This computer program is protected by copyright lay and international treaties Unauthorized reproduction or distribution of this program or any portion of t may result in severe civil and criminal penalties and will be prosecuted to the maximum extent possible under the Licensed to Scherrer Resources Inc Figure 2 Broker s Ally startup screen Tip of the Day As a training aid every time you run Broker s Ally you will be presented with a Tip of the Day These tips will give you specific information related to the software The tips are designed to help you learn shortcuts to your software You can vi
281. the posting book file you may have to wait a few minutes while Broker s Ally makes the adjustments 81 Stock Split Date L IESSE Security General Electric Hecewe Shares lo For Every lo Shares Post lo Calculator Cancel New Price Figure 86 Split Shares Change Symbol Corporate actions such as symbol changes are accommodated here This dialog allows you change the symbol for an existing security Enter the ticker symbol CUSIP number or other code representing the security Broker s Ally can store a Symbol with up to 10 characters Since this operation requires updating all applicable transactions in the posting book file you may have to wait a few minutes while Broker s Ally makes the adjustments 6 6 USERID The User ID option sets up the user entry security scheme for the entire Broker s Ally application Use this option to Add Delete and Configure the access rights of users in a multi user installation Broker s Ally can restrict users from entering certain areas of the program limit access to data and control which fields in contact records a user can change In a single user installation the User ID system controls password access to important areas of Broker s Ally The User ID dialog serves two purposes 1 Select a User ID in order to login to Broker s Ally When you begin a session with Broker s Ally you must select a User ID In single user installations you should enable the User Prefere
282. tom of the window to change the selected view When you open the Activities Calendar from the View menu you will see all of your activities for every contact Daily Weekly Monthly and Summary views allow you to see the activities in a variety of formats Activity For is used to see activities assigned to a different user in your work group Use the Summary view to see all activities in chronological order To see completed activities click on the History check box Daily View When first opened the Calendar shows today s activities with a resolution of 30 minutes in a format resembling a daily appointment calendar You can change the view resolution of your Activities Calendar from 30 minutes to another value See User Preferences If several activities are scheduled for the same time slot you will see only one activity However Broker s Ally will display a number in parentheses equaling the amount of activities scheduled for that time By clicking on the time slot a window will appear where you can view all of the activities scheduled for that time slot You can view activities that do not have an associated time in the No Time field To examine a different day select the Calendar Icon located at the bottom of the Activity Calendar window double click on a different day and the selected day will be presented You can quickly print your Activities Calendar by pressing the Printer Icon located at the bottom of the Activities Calendar window
283. transfer a marked letter to another user i e move it from your list to another user s list click the Mark For button and choose a User ID from the dialog Select Initially the Select scroll box shows all and the list box displays all of your marked letters for this contact You can choose a particular letter in the scroll box in order to display only occurrences of this letter When you are ready to print the letters you have assigned to contacts choose the Marked Letters option from the Mail menu This option presents you with a dialog with four additional buttons 117 allowing you to print Letters Labels Envelopes or a Report This dialog now shows the contact name and corresponding letter for all assignments you have made in all data sources We discuss this further in the Mail Menu chapter In summary Suppose you had a letter called PROSPECT BAL that you had created with the Letter Writer You have identified a prospect that you want to receive this letter and have found and displayed his record on screen Select Mark a Letter from the Contact menu Click on Add and select the file PROSPECT BAL from the Add Marked Letter dialog The letter will be added to your list for the displayed individual After you have marked all the letters for every individual you want to receive letters select the Marked Letters option from the Mail menu Choose Print Letters to print all letters and then choose Print Labels or Print Envelopes to print
284. tuation If you are an advanced single user you may wish to place all the data files on your computer in subdirectories branching from a single directory called C DATA Thus you might set your Brokers Ally data directory to be C DATA BAWIN This would allow you to easily backup all of your frequently changing data files by backing up the C DATA subdirectory and all its subsidiary directories without needing to back up all your program files that change less frequently In this case you would set your Broker s Ally Default Data Path to C DATA BAWIN 58 User Preferences Envelopes Labels M Include Second Name Contact M Enable Exact Find hd Automatic Save i Include Company Cancel W Display Find Contact List h Allow Account changes T First Name First I Insert Comma after City Duck Add Calculator Directories Data CBAs Letters ISCH Login M Automatic login as MGR Enable passwords E mal Interests User Fields View M Status Bar W ToolBar Toolbar f Normal Large User Into Cancel Buick Add Geste Eat ee User Fields User Into Dk Alert Cycle Minutes M Multimedia Sound Database M Direct File Access Docking Station Ignore No Mail SOL Server Views Activities Calendar Resolution 20 F minutes Update Schedule ver 7 M All Data Source Esport lImport Rights Startup Ge Find Contact C
285. ue field 4 and click OK On returning to Edit List dialog the Search Properties Criteria displays CALL Once again click on the Add button adjacent to the Search Properties list box to bring up the Search Logic window 5 Select AND in the Continue Previous Statement With group 6 Select Activities Activity Date from the Field combo box 7 Select Less than or equal to lt from the Operator combo box 8 Enter 3 13 2017 in the Value field 9 and click OK On returning to Edit List dialog the Search Properties Criteria displays Activities Type Equal to CALL AND Activities Activity Date Less than or equal to lt 3 13 2017 Notice that the first clause is connected to the second clause with AND meaning that both clauses must be true in order to select a contact 1 You can select contacts using contact and activity criteria or contact and posting book criteria but not activity and posting book criteria 41 Please Note A Short Cut for creating calls list 1 Select Activities Activity Date from the Field combo box 2 Select Is Past Date or Today lt Today from the Operator combo box 3 Press the Refresh button every day The operator will automatically take today s date from your computer clock and place it into the Date criteria Network Users If you are running Broker s Ally on a network you will want to create a Calls list containing only your calls You must therefore addition
286. ue to an individual users data source is specified as unique Those files that contain data that can be beneficially shared between users or data sources are defined as common For example the people file containing your personal prospects should be unique otherwise all contacts would be in the same data source On the other hand the list of broker numbers rep ID s is not likely to differ between users of Broker s Ally or between clients or prospects clearly a candidate for a shared file Other files are similarly allocated Whenever you mark a letter it is stored in a common file so that you can print marked letters for all data sources in one efficient operation Notes are unique since they apply to individual contacts already defined as unique Selecting a Data Source Before you can create a new Broker s Ally data source you must first decide to name it with a name of your choosing Selecting a Default File Location The second step is to select a default file location by specifying a Default Data Path which you setup via Edit User Preferences as discussed in the Edit chapter Broker s Ally uses the default Data Path as the location for creating new data sources unless you specify a different location at the time of creation When Broker s Ally is shipped the Default Data Path is initially set to the same directory you used to install the program for example C BA9 However you can change it to whatever location best suits your si
287. uler To see only Calls select CALL in the list box Similarly to see only Actions select ACTION in the list box History Check this box to see accomplished activities or click this box again to see pending activities User To see activities assigned to a different user select a User ID from this scroll box You will only see those users that your configuration setting will allow you to see Zoom Press the Zoom button to see the full contact record for the selected activity Or double click on an activity to display the contact record Reschedule To reschedule an appointment simply highlight and drag the event from one date time cell to another You can do this by moving your mouse pointer to the date time cell that you want to move press and hold your left mouse button down While still holding your mouse button drag the mouse pointer into the new date time cell and drop your event into its new slot by releasing the mouse button 39 3 4 CAMPAIGN LISTS There are numerous occasions when you would like to make a list of all contacts that have a special significance in order to carry out a business activity We call these lists Campaign Lists and when you create one you can use it over and over again For example you might want to create lists for the following purposes e Make a phone call to a special group of people who are holding a specific stock e Produce a report of everyone living in a certain Zip code e Follow up a
288. ulpm ae Free nance etre onwerts TaxF IA Retired r 4c nnuIties anning oreign CMO P s iti JPI i IT Forei Activities FC f Treasury TI Options IT Ge IT Ju Reszolutior inate Blue Chip E Late d im JLabel 23 E Late E TT Updat in Late 25 E Late 26 Late ER im Labe SS Startup LC pap cno mm Figure 109 Interests Setup dialog The major benefit of the Interest system of classification is that they are easy to check on and off for a given client and they are very fast in selecting contacts for a list view or report Their limitation is that you can define only 28 interests and they must remain fixed to be consistent Warning If you re define the meaning of an interest classification all contacts assigned to the prior meaning will be assigned to the new meaning You must manually remove the check mark for an interest from all contacts assigned that interest to avoid assigning them to the new interest Investment Objectives It is important to record your chent e investment objectives Broker s Ally tracks the specific investment objectives of each of your clients through the use of Interests Flags or User Defined fields Broker s Ally thus allows you to comply with the SEC know your client rulings The objectives shown below are examples of those you can use and the meanings intended for them are noted However you may also add your own investment objectives Capital Apprec
289. ult File Location 59 Delete Contact 115 Users 83 Delete Data Source 73 Dial Contact 115 Direct File Access 89 Directory Preferences 87 Docking Download Docking Transfer 69 Docking Transfer 69 Docking Upload Docking Tranfer 69 Document Letter Writer 169 Document Info Letter Writer 164 Download 67 E Edit Users 83 Edit List 40 130 E mail 91 User Preferences 91 Enable Exact Find 86 Enable passwords 87 Envelopes Labels Preferences 87 Exit 78 Letter Writer 164 Export 65 ASCII 65 F Fax 78 Log 78 FIFO 24 27 File Export 65 Import 61 Maintenance 74 Names 60 File Menu 57 Files BAL Broker s Ally Files 163 Common 58 dBASE 74 re indexing 74 RTF Rich Text Format Files 163 Unique 58 Files to back up 20 Files with the DBF MDX DBT extension 22 Financial Terms Glossary 192 Find Contact 95 Rapid Find 98 Find Contact Wildcards 108 Find Link 119 Flags 108 Flags and Interests Page Contact View 106 Format Letter Writer 165 Bold 167 Color 166 Italic 167 Page 166 Paragraph 166 Subscript 167 Superscript 167 Text 165 G General Ledger 27 Ghost field 169 Global Changes 70 Activities 71 Flags 71 Histories 71 Interests 71 Owners 70 Group Letter Mail Menu 174 No Mail 174 Group List 19 134 Group Of People 48 Groups 19 H Help Annotate 189 Bac
290. up Type Stock T m m Description as of Annual Income jo Maturity Date k Pricing Serice Interactive Data M Add Delete Corporate Achons Edit Frices Close Global Change Pricing Service From Interactive Data sl To Interactive Data sl UK Figure 85 Securities Dialog To change the symbol for a security click the Change Symbol button Stock splits can be performed with the Split Shares button Add This dialog allows you to add a new security to the Broker s Ally securities list Enter the ticker symbol CUSIP number or other code representing the security Enter a Name description and select a Type Broker s Ally can store a Symbol with up to 10 characters Delete Click the Delete button to remove a security from the list and the database Warning You will not be asked to confirm this action Split Shares Corporate actions such as Split Shares change the Quantity and Price in all open transactions for the selected Symbol To setup a ratio for the split enter the number of New Shares to substitute for the number of Old Shares The new share to old share ratio will be used to alter the Quantity and Price in each transaction If you enter 2 for New Shares and 1 for Old Shares the Quantity in affected transactions will be multiplied by 2 and the Price will be divided by 2 in order to keep the same total cost Since this operation requires updating all applicable transactions in
291. ure many of the features of Broker s Ally to your liking 86 User Preferences Envelopes Labels hd Include Second Name Contact MW Enable Exact Find M Automatic Save Jh Include Company Cancel h Display Find Contact List M Allow Account changes T First Name First h Insert Comma after City Quick Add Calculator Directories Data ICABARS Letters IC Dap View M Status Bar W ToolBar Toolbar Ge Nomal Large E mail Interests User Fields Login IY Automatic login as MGR T Enable passwords User Into Cancel Buick Add Geste _ Email _Interests _ User Fields _User Info Dk Alert Cycle Minutes P h Multimedia Sound Database iY Direct File Access Docking Station T Ignore No Mail SQL Server Views Activites Calendar Resolution 20 F minutes Update Schedule ver 7 kW All Data Source Export lmport Rights raren Cem mmm Startup Ce Find Contact C Show last contact C Activities Calendar Figure 91 User Preferences Dialog Most user preferences are stored with their associated User ID therefore it is possible for each user to specify a unique configuration However all users share only one set of definitions for Interests User Fields and Login settings Each configuration option has a default value or setting established when you installed Broker s Ally In most cases
292. use while depressing the CTRL key to select a group of adjacent entries Contact Edit rights affect which fields a user can change in an existing contact record While adding a new contact a user can enter information into any field including notes and transactions regardless of whatever edit rights have been assigned In some cases a single right controls a group of fields e Name controls all parts of the contact name 2nd Name and NickName e Address controls Company Address City State Zip Country and Carrier Route e Phone controls all phone and phone extension fields e Comments controls Comments Flags Interests and Secondary Record History and Schedule rights pertain to the Calls Actions Calendar View other users allows the operator to examine another user s history or schedule of pending activities Entries in the rights list preceding a colon are simply headings for the indented topics listed underneath These headings such as Securities User ID and User Preferences are not valid rights Thus selecting them has no effect on the behavior of Broker s Ally Once you have created the desired Privilege Levels their names will appear in the scroll box at the bottom of the Configure User dialog To assign a particular user a specific Privilege Level simply click on the Level s descriptive name 6 7 USER PREFERENCES The User Preference dialog is accessed from the Edit menu With it you can select or config
293. used as necessary to satisfy the disposal amount Average Cost The average cost per share is calculated using all lots remaining in the position Every lot is selected and the quantity used from that lot is determined by multiplying the disposal amount by the ratio of the lot amount over the total amount of the position Only for mutual funds are fractional shares allowed Specific Lots and amounts are selected by the user to satisfy the disposal amount 9 2 BOOK PAGE The new book page summarizes a contacts holdings across multiple trade lots Two new fields Cash and Buying Power were added at the bottom of the holdings page The Cash field displays the available amount of cash for the current contact The Buying Power field displays the amount of money available to buy securities This is determined by adding the available cash to the maximum margin value of all securities held The margin rate can be adjusted for each client by the Broker s Ally user 154 There are four buttons on the new Book Page These buttons Sort Order Do Trade View Ledger and Cash Ledger will complete the following tasks The Sort Order button allows the user to change the order of the positions being displayed Clicking on the Do Trade button pops up a menu with the available trade types After selecting a type the appropriate trade type screen is brought up Clicking on View Ledger brings up the Ledger view described below Clicking on Cash Ledger brings up t
294. usly owned the Broker s Ally Standard or Gold levels our flagship versions The Portfolio Level is an enriched edition of the Gold version managing current market values of portfolio holdings You can easily upgrade to the Portfolio Level and conversely if you own the Portfolio Version it automatically includes the Standard and Gold features The Portfolio menu appears within Broker s Ally Gold as a native part of Broker s Ally This menu comes alive when you install the Portfolio Version Thereafter the menu performs all the functions shown including the addition of optional tool bar icons specific to portfolio functionality 139 8 1 THE PORTFOLIO MENU o Broker s Ally Portfolio Version 6 51 for Gregory S Walters File Edit View Baim Mail Tools Window Help Broker Reports Ee a y Go U ce Ca Gea E NRI Robert Ada Campaigns Maturity Lists olx CONTACTG 24 Le ll KEE Portfolio Rank Lists Robert Adams E Name Ir am gt Hi 2nd Name PO Company Address 503 Jackson Lane East Boo Records 24 Work 512 658 1236 ext Home 512 657 8456 _ ina Alt Phone ext Fax Save Comments Do not call between 4 9 pm i lt gt al gt Address Notes Interests User Fields Book Pag Agenda Close Zoom Colls H Contacts 0 Mon Mar 17 1997 05 20PM MGR Figure 136 The Portfolio menu Let s start our detailed description of how to use the Portfolio version with a look at
295. uture And last but not least thank my patient and supportive wife Eliza and my three daughters Liesl Sydney and Logan for their many positive attributes James S Scherrer February 2010 TRADE MARKS Agents Ally is a trademark of Scherrer Resources Inc Advisor s Ally is a trademark of Scherrer Resources Inc Broker s Ally is a trademark of Scherrer Resources Inc WebAlly is a trademark of Scherrer Resources Inc Broker s Ally for Windows is a trademark of Scherrer Resources Inc Recruiter s Ally is a trademark if Scherrer Resources Inc Realty Ally is a trademark of Scherrer Resources Inc Sales Ally is a trademark of Scherrer Resources Inc Windows is a trademark of Microsoft Corporation Word for Windows is a trademark of Microsoft Corporation ThinkPad is a trademark of International Business Machines Inc IBM is a trademark of International Business Machines Inc IBM PC is a trademark of International Business Machines Inc Hewlett Packard is a trademark of Hewlett Packard Company LaserJet is a trademark of Hewlett Packard Company Data Direct Drivers is a trademark of Data Direct Corporation Crystal Reports is a trademark of Seagate Corporation TABLE OF CONTENTS NOTICE SOFTWARE LICENSE AGREEMENT ACKNOWLEDGMENT TRADE MARKS TABLE OF CONTENTS WW PD P PART 1 INTRODUCTION CHAPTER1 OVERVIEW 7 1 1 Product Support 1 2 Typographical Conventions 1 3 About Broker s Ally 1 4 Program Installation Setu
296. uying Power 29 112 153 160 200 C Calculator 178 Setup 91 Calculator Preference 91 Calendar Activities 120 Date 180 Call Interval 109 Call List Revise 132 Sample 130 Using 132 Call Lists 129 Calling Card 95 Campaign Lists Wildcards 108 Campaigns 129 Carrier Route 99 Cascade Window 184 Cash Accounting 29 Change Symbol 81 Client 48 Client Suitability 109 Close All Window 186 Close Transaction 112 Color Letter Writer 166 Comments 100 Commissions Report 137 Common Files 58 Common Files 58 Company Report 135 Configuring Users 83 Connectivity to Clearing Firms 29 Contact Add 98 Letter Writer 169 Report 135 Contact Menu 114 Agenda 120 Copy 115 Delete 115 Dial 115 Links 117 Mark a Letter 115 Move 115 Print 119 Print Envelope 119 Contact View Address Page 99 Book Page 110 Flags and Interests Page 106 Notes Page 101 User Fields Page 109 Contact Work Sheet Standard Reports 136 Contact s Agenda 120 Conversion 208 Copy 79 Contact 115 Create Data Source 57 Creating a New Data Source 59 Customer 24 Cut 79 Cycle Minutes 89 D Data conversion 208 Data files 32 213 Data Source Broker s Ally 59 Delete 73 221 ODBC 58 Data Structure 58 Database Operations 61 Database Preferences 86 Date Letter Writer 169 dBASE 58 dBASE files 74 Defa
297. vation The Tile option is most useful for displaying multiple windows simultaneously If you want to compare two contact records the Tile option can display them side by side Closing Windows sl To close a window and the program it contains make sure that it is the active window by clicking anywhere within the window and then click on the control menu box which is represented by a horizontal dash in the upper left hand corner of the window This will bring up a control menu From the control menu choose Close Alternatively you could select Exit from the File menu or press the Alt F4 shortcut key combination Scroll Bar Some windows may also have a scroll bar A scroll bar is used when a window is not large enough to display all of its contents at once The bar will appear along the right side and or the bottom edge of the window el A Figure 56 Scroll Bar The scroll bar consists of a shaded bar containing a small square called the Thumb which you can move by clicking on the scrolling arrows located at each end The scroll bar represents the window s entire contents while the Thumb represents the section currently visible in the window relative to the 54 total display To make large jumps you can click on the bar just inside the arrow icon or drag the Thumb to the desired position Icons Windows provide graphical pictures called icons These icons represent programs as in the figures lly Products i Wi T
298. ve for Reminder events which are not associated with a contact For example Thomas Adams is scheduled for a call at 4 00 PM When it comes time to give Thomas a call Broker s Ally will display an alarm message By clicking the Zoom button you can move directly to the contact record for Thomas Adams You can snooze an alarm which means putting the message off for another 10 or desired Snooze minutes If you find the alarms annoying do not select the Activate alarm option when you schedule an activity or increase the Cycle Minutes setting in User Preferences 3 6 SEND YOUR CONTACTS THE INFORMATION THEY REQUESTED Marking Note After a phone conversation or meeting where a customer requests additional information you will want to create and mark a note to insure that you send the correct information After creating a note in the customer s record click on the Mark button The note will automatically be marked for your user ID MGR if you are a single user In a network installation the Mark button will bring up a Mark dialog and you will notice that your User ID is displayed Click OK to mark the note for your list of marked notes You can also select another User ID to mark the note and assign it to another user s list To unmark a note simply click the Unmark button You can print your marked notes on labels at the end of the day by selecting Marked Notes from the Mail menu The Marked Notes feature will print the customer s name and addr
299. vity The Daily and Weekly Calendar will show the same activity more than once if the Duration is greater than the Activities Calendar resolution The Activities Calendar resolution can be changed in User Preferences 9 Check your other activities for a conflict If you mark this option the scheduler looks for conflicts with your other activities when adding or updating an activity When a Duration is entered the conflict analyzer looks for overlapping time blocks If your activity does not have a duration the conflict analyzer only reports when you have another activity scheduled on the same day at the same time 34 10 Alarm If you want the Alert system to notify you when this activity comes due check the Activate alarm box If you want to be notified in advance of the event enter the number of minutes prior to the event time in the Alarm Lead time box Schedule Activity for Kenneth Armstrong x Activity Activity For HGR Entered By MGR sl i Cancel Contact Kenneth Armstrong Help Description Tearly Review Tax review Duration 15 minutes kd Check your other activitites for a conflict Alarm W Activate alarm when activity comes due Alarm Lead E minutes Figure 32 Schedule Call or Action Dialog When you schedule an activity while a contact window is active the Contact field shows the name of the contact associated with the activity If you schedule an activity when a
300. w Once you have found a single contact or group of contacts that match your search criteria you can view or edit these contact records The basic strategy for using the Find Contact option is to first open the Find Contact window then enter whatever criteria you wish to use to find a particular contact into the specific field To find a contact or group of contacts enter profile information in one or more fields and press the Find button Broker s Ally retrieves the set of records fitting the profile which may only be one record and then you may use the browse arrow buttons to move back and forth from one contact to the next if the set is greater than one For example to view all contacts having a last name starting with A enter A in the Last Name field This is called Query By Example QBE If you Know only the last name of an individual you would enter it into the Last Name field of the Address page Click on Find and the system will find all contacts with that last name If you want to further refine the Find operation you could enter more details For example if you knew the individual s first name or company name or even his city or state you could reduce the list of matching records You can use any field in Broker s Ally to search the database If you know of a phone number of an individual you can type the phone number into the Work Home Alt Phone or Fax field and press the Find button This will return the contact record that matches t
301. w up to Matlin Follow up to Matlin Follow up to Mailin Follow up to Mailin Follow up to Matlin Follow up to Mam 6 Month Review Just keeing in tou Discuss Portfolio Tax Review Print P AL Reports 6 Month Review Print P AL Reports Discuss Portfolio Add Edit Sweep Delete Accomplish Show Type History 4 a oom Calendar Format Activities for Daly Weekly C Monthly Pewee ra 5 HGR D Figure 38 Activates Calendar shown in Summary View format You can re schedule one or more activities from the Activities Calendar or Contact s Agenda When you click on Sweep while viewing the Daily Monthly or Summary list of activities the currently selected date is assumed 38 Sweep Activities HRe schedule your activities dated Tuesday March 18 1997 between 12 00 AM and 11 595 PH _ for New Activity Date 371971997 Figure 39 Sweep dialog 1 Verify or change the time range for the activities you wish to re schedule Verify or change the new activity date Tomorrow is the default value See Date and Time Shortcuts 3 Click on OK to change the schedule date for the selected activities Accomplish Click on Accomplish to copy the selected activity to the history file and delete it from your list of current activities Show Type When no items or all items in this list box are selected the Calendar displays all activity types CALL ACTION MEETING and other types you may have created with the sched
302. we will explain only which files to back up There is a SINGLE file which contains ALL important data AllyWin MDB MDB means Main DataBase We make a simple point that you should at least backup that single file every day In prior versions this data was distributed among all files with DBF MDX and DBT file name extensions found within the Broker s Ally v8 directory This one file is the key Broker s Ally data file this will save your most important contact data Your Broker s Ally letters are all the files with BAL file name extensions 1 7 NETWORK ISSUES The network version of Broker s Ally is a multi user system It requires users to login when running the program and allows multiple users of Broker s Ally to access a database simultaneously When installing a Broker s Ally Network follow the installation instructions for networks The Broker s Ally program should be installed onto each workstation pointing the data source to the network drive directory User ID Privilege Levels amp Record Ownership After you start Broker s Ally you will be required to identify yourself to the program by selecting your User ID from a list shown on the screen We distribute Broker s Ally software with one permanently established User ID called MGR for Manager that enables all features and functions We assume the first person to run Broker s Ally after installation to be the manager of the system If yours is a single user system MGR is
303. will be dialed as local numbers It allows you to enter dialing prefixes and suffixes that will be combined with phone numbers fetched from the contact window A prefix is what you need to dial in order to connect to an outside line whereas a suffix is an optional accounting code your firm may require you to dial following a phone number Broker s Ally allows you to enter a prefix and a suffix for each type of call local long distance international and special long distance 176 Dialer Options EZ Local Calls Pretix E Local Area Code 215 Pretix E Suffis Suffis International Call Access Code Frefis Sufis Special rea Codes Area Code 1 Pretiv SEF Area Code A Pretiv Suffix Area Code 3 Pretiv Suffix Long Distance Calls Area Code A Frefis Suffix Area Code 5 Pretix SUF When Contacted aden aT Add to History cho Modem T Check List ltem Cancel DE Pe Hee T Popup Scheduler eae Figure 175 Dialer Options A dial prefix string can be a combination of modem commands and dialing codes that precede a phone number Illustrates typical prefix strings Local Calls Prefix 9 Long Distance Calls Prefix 9 1 The Local Calls Prefix will dial 9 and pause two seconds to allow for connecting to an outside line The Long Distance Calls Prefix will dial 9 pause two seconds and dial 1 e Local Calls Enter your local area code in Local Area Code If
304. will run automatically and present questions on the screen regarding your ideal configuration Upon answering these questions the data migration process will upgrade you from previous versions to the current version 9 of Broker s Ally To only import contact notes holdings and securities information follow these directions 1 Under the File menu select Database Operations From the popup menu select Import 2 Select Broker s Ally v6 v7 or v8 Data and press Start 3 You will be asked to specify the directory for your Broker s Ally data files If your data is ina different directory other than C BA6 or C BA7 or C BA8 please specify the correct directory 4 Press OK From To Import Type Data Source Asci Loader Broker s Ally Data vE Test Broker s Ally Data wr Broker s Ally Data vi hy Figure 30 Converting and Importing Contacts from earlier versions of Broker s Ally 31 Data Storage For reference your database information is stored in ALLYWIN MDB In prior versions files with file name extensions DBF MDX and DBT were the database files This file retains your contact database including notes activities securities interests user fields and postings Broker s Ally allows you to create and use several separate Broker s Ally data sources or databases For example you might have one Broker s Ally data source for active clients and prospects another for less important prospects and anothe
305. wish to have full color geographic maps created for customer prospect and portfolio demographic information Account representatives create hundreds of transactions and events on a daily basis This information forms the basis for rigorous mapping and analysis of opportunities From this extensive firm wide and nationwide database can come informed decisions regarding sales and marketing opportunities and trends Firm wide management maps of retail business activity on a city county state or national level Sales Map Examples Client density Transactions per broker per branch New customer mapping New accounts per month Unserviced territories or regions Sales Representative Ranking Market Map Examples New Product sales opportunities Aggregate corporate client asset analysis Company day and month totals Territory Saturation Corporate Mapping Customer Turnover ratio Reassignment of clients lost clients Legal and Human Resources reports Telemarketing call constraints Comparison or revenue per region Database Sources Back office servers Middle Office servers Desktop PC s Data marts Software and Service Fees For Mapping Scherrer Resources Inc personnel will come to your corporate headquarters and install the mapping software and configure it for your needs There is a one time cost of 15 000 for the mapping software and installation services and this includes a license for 2 users and 3 preformatted maps using your database Ad
306. wish to retain the area code in the dialing sequence add it to the Prefix e No Modem Unless you have a modem BA cannot dial a phone number for you If you do not have a modem you can track calls successful contacts and update Last Contact in a record Select No Modem and proceed as if you were dialing the phone automatically Although the Dial button will be inactive the Contacted button will register the information e Contact History Whenever the Last Contact field is updated in a record you can also have BA add an entry to the history file documenting your phone call Select Contact History to enable this feature The entry is added to the history file only when you click on Contacted and Hang Up 11 2 STOPWATCH The Stopwatch tracks your time spent on phone calls or any other activity performed at your desk When you first activate the Stopwatch from the Tools Menu it resets itself to zero and starts to count You can reset the Stopwatch yourself by clicking on the Reset button You can also instruct the Stopwatch to convert time into dollars and cents via the Configure Button You can set either an hourly or minute by minute rate as well as a minimum charge You can even set the increment by which the charges are calculated For example rather than charge by the minute you can charge only for full 15 minute blocks of time by setting the minute rate to your desired amount and the increment to 15 Clicking on the Stop button pauses t
307. words can be any length and composed from any of the keyboard symbols However there is no difference between lower case and upper case letters of the alphabet For example H is the same as h Each User ID also has an associated User Name which can be referenced with one of the merge codes in the Letter Writer User Configuration Data Files Broker s Ally obtains the special setup characteristics for a user by reading a file called BAWIN9Y INI The BAWING INI file contains information concerning the data sources toolbar default directories stopwatch configuration calculator last report printed etc On a network this BAWINQ INI file is located on the workstation in the directory where the application is installed Each user has a private scratch pad HTa Activities marked notes and marked letters are assigned to specific User ID s thus keeping one ala person s actions separate from others If more than one person shares a User ID code conflicts will arise in these areas Furthermore if two users simultaneously operate Broker s Ally using the same User ID more serious conflicts will occur Warning We strongly advise each person to use a different User ID Advice for Network Managers You should take responsibility for backing up the database on a daily basis Ally stores records notes transactions and histories for all users in corresponding data files in one main file AllyWin MDB We make a simple point that you should at lea
308. y when two or more contacts are linked in a relationship that usually represents an association between two people as in a client and their attorney Not to be confused with Joint Account see Joint Account Not to be confused with Associated Contact see Associated Contact Maturity The date on which a debt instrument such as a bond becomes fully payable Recorded in Broker s Ally under Securities Maturity Date Municipal bond One of several types of securities tracked by Broker s Ally as a bond issued by a state state agency or authority or a political subdivision such as county city town or village In general interest paid on municipal bonds is exempt from federal income taxes and from state and local income taxes within the state of issue Tracked by name and CUSIP number Option A call option is the right to buy 100 shares of a security at a fixed strike price before a given expiration date maturity Similarly a put option is the right to sell 100 shares at a fixed price before a given expiration date Ordinary income Any income that does not qualify for special tax treatment capital gains special averaging and is taxed at the prevailing rates and is recorded separately from tax advantaged investments in Broker s Ally Original issue discount OID The difference between a bond s par value and the price at which it is bought at the time of issuance Par In Broker s Ally the face value or denomination of a bo
309. ying Power To help calculate Cash and Margin account management and measures of buying power as depicted in screen views for the user e Clearing Firm Integration Connectivity tools to integrate with DST FanMail other clearing firms and back office servers We have created universal data loading tools to migrate mainframe based back office host data into the Broker s Ally application for US Clearing Pershing Beta CheckFree APL Fiserv Securities TD Waterhouse Crowell Weedon Chevy Chase and others e Market Data Feeds Connectivity tools to load market data and up date pricing Financial Times Interactive Data market price data feed connectivity The data feed utilities load data into the data tables of the securities master file of Broker s Ally This data file is a robust file holding several types of data including the security name type CUSIP description prices including as of dates annual income maturity date pricing service that provided the data corporate action stock split dates and ratio global change pricing features and many others 200 Edit Security Name DM Type Stock M Lee Description rT Annual Income E Maturity Date Pricing Service M Add Delete Corporate Actions Edit Prices Close Figure 204 Securities Master File The security master file can be populated with data either electronically manually or both The security master file controls the pricing of portfo
310. you fetch a number containing this area code the area code is removed to make it a local call Enter in Prefix whatever you need to dial in order to connect to an outside line e g 9 Enter in Suffix whatever accounting code information you might need to dial following a local phone number e Long Distance Calls Enter in Prefix whatever you need to dial in order to connect to an outside line and initiate a long distance call e g 9 1 Enter in Suffix whatever accounting code information you might need to dial following a long distance phone number e International Calls Enter in Access Code the code you need to dial to initiate an international telephone call e g 011 Enter in Prefix whatever you need to dial in order to connect to an outside line for international calls e g OT Enter in Suffix whatever accounting code information you might need to dial following an international phone number e Special Area Codes Enter in Area Code the area code that requires a special prefix or suffix different from the general Long Distance Calls settings Enter in Prefix whatever you need to dial in order to connect to an outside line for this particular area code Enter in 177 Suffix whatever accounting code information you might need to dial following the phone number You may use up to 5 special area codes Note that when a special area code is found in the phone number you have fetched the area code is removed If you
311. you will not need to change these defaults However there are no default settings for the User Fields and Interests thus you must define the conceptual meanings and descriptive titles for them Contact Preferences If you check Enable Exact Find You will be activating the Broker s Ally Rapid find mechanism If you enter an exact value in the Last Name Account or Owner fields you will find a contact or contacts much more rapidly You will only find those names that exactly match your search criteria For example if you are searching for everyone in your data base with the last name of Green the search will not return contacts with the last name of Greenly lf you check Automatic Save Broker s Ally will save the contact records automatically when you leave the contact screen If this is unchecked you will be asked if you would like to save the contact When checking Display find Contact List a list of all contacts meeting the search criteria will be displayed adjacent to the Contact window 87 erer WB ia CONTACTS 4 Dol Mame bur amp In Scherrer Zz Account end Name CE0 Open Date l Email Owrer Scherrer Jim Company SCHERRER RESOURCES INC Last Contact f Data Source Address RI Pottstown Plke Status Head Others Rating f Dates City Eag State PA Zip 19480 County f Carrier Route T No Mail Records 4 Work Il ext Home Phone Numbers Addresses Fax Dave Comments f
312. ys to sort and Cancel 112 Figure 112 Sorting the Ledger Valuation Monitors Viewing the lower left of the Posting Book screen shows instant access to portfolio valuation totals for Open Cost Market Value Market Gain and Loss the Cash position and their Buying Power measures Transactions Opening or Closing Positions Transaction dialog allows you to open a new transaction for the Book page for your clients through a purchase sale income or split You select Purchase or Sale and enter an Open Trade Date Quantity Symbol Price and any other pertinent data Broker s Ally calculates the total for you If you enter a Symbol that Broker s Ally does not recognize it let s you Know because the calculation cannot be performed properly unless the security type is defined Further you can enter cash in cash out and short sales and closing sales The Post Close Transaction dialog allows you to edit an existing transaction presumably to close an open transaction Be sure to enter a Close Trade Date otherwise none of the close information will be saved Broker s Ally calculates the Totals and Gain and Losses for you Robert Adams me x Le i f l Account ecurity Quantity Price Mkt Value Damdl oss EE Sea 56385634 AT amp T Corp S00 IBM 100 95 90 9590 00 590 00 Owner Luz Internet Capital Grol 1000 1 50 1500 00 0 00 i Mortel Networks Cor 100 13 00 1300 00 poo Data Source Records 3 Open Cost 1 800 00 e MEt

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