Enhanced
Experience Program

Below is a comprehensive list of enhancements made across the full Osaic network. Some of the enhancements may have already been realized by your firm or will be available at your firm in the near future. Our goal is to make the experience of all financial professionals consistent over time so that the advancements provide benefit to our full network.
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Service & Operations
Digital Experience
Policies & Procedures
Products & Platforms
Communications
Did you know?
Service & Operations
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Added access to Learning Corner training on the digital (r)evolution page 
 
The Digital (R)evolution page has been updated to include a direct link to the appropriate module in Learning Corner, making the process to find a specific course in Learning Corner more efficient.
Resolved connection errors between Support Center and back office system
 
Updates have been made to the connection between Support Center and our back office workflow system to resolve issues with cases closing/re-opening in error when status updates and/or case comments are made.
Added new financial planning service options 
Changes to our financial planning services will better align with your clients’ needs and demographics, as well as incorporate industry-leading financial planning fee-for-service features. Osaic’s Financial Planning program now offers three separate service options, each with two expiration options: standard “point in time” or annually renewable.
Digital Experience
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eQuipt: Expanded registration types and funding options in eQuipt 
 
All registration types and funding options are now available for Pershing, NFS, and non-brokerage accounts in new eQuipt (with the exception of plan participant and corporate sponsor plans).
OneHub: Enhanced search tools
 
 
You can now use the new lookup tools in OneHub to compare annuity solutions, exchange traded funds, variable life insurance, interval funds, and alternative investments. Find the lookup links for each product under Solutions > Serve Your Clients > Products.
OneHub: Broadened user capabilities
 
 
Supervision and branch level users can now view supervisor hierarchy and branch information, and request edits to submitted tickets.
WMP: Updated asset-based pricing model 
 
Wealth Management Platform (WMP) will now reflect and calculate the new simplified asset-based pricing model for advisor managed portfolios (AMP), which is based on your total assets on WMP.
WMP: Streamlined the new account opening process 
 
To streamline the new account opening process, Wealth Management Platform (WMP) will cross-check your client’s risk from a current account, an approved risk tool, or financial planning tool. This eliminates the need to complete step 6 of the Risk Tolerance Questionnaire each time you open a new account.
WMP/NGP: Improved “refresh icon” functionality on the Next Gen Proposal
 
 
Users can now click on an embedded refresh button with the Next Gen Proposal that will create a more seamless experience, allowing users to keep their place in the proposal while still refreshing any updates they have made.
Policies & Procedures
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Updated signature requirements for qualifying Independent RIAs (IRIAs) 
 
Qualifying IRIAs no longer require your and your client’s signatures for the non-brokerage (shell account) forms. As part of this process, qualifying IRIAs will sign a Letter of Understanding covering their responsibilities.  
Removed requirement for OSJs to review certain logs 
 
To streamline your business, it is no longer necessary for OSJs to review the Signature Guarantee log or to review the check log monthly.
Updated guidance for transfer of assets from 529 Plan to Roth IRA 
 
The SECURE Act 2.0 allows clients to transfer assets from a 529 Plan to a Roth IRA. Based on guidance from the DOL, this transfer activity falls under requirements for Regulation Best Interest and can be supported through the Duty of Care process. Because this doesn’t fall under DOL PTE 2020-02, RightBRIDGE doesn’t need to be completed and the Rollover/Transfer/Distribution Form (RTDF) isn’t needed.
Refined process for opening IRA accounts 
 
When opening an IRA account for inherited assets or as the result of a divorce decree or court order, and not providing any advice or recommendation, you do not need to complete RightBRIDGE or the Rollover/Transfer Distribution Form (RTDF). Your client should sign the recently revised Acknowledgement Client-Directed Rollover Form, posted to your firm portal’s DOL PTE resource page.
Did you know?
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Access fixed income knowledge articles
Fixed income content related to Survivor Puts, a feature of certain fixed income products that is triggered upon the passing of an account holder, has been reviewed and updated. Please visit the links below to view the updated content in Support Center:
  • Pershing
  • NFS
Make direct contributions in NFS Plan Manager
Employers can make direct contributions in NFS Plan Manager without having a separate account.
Open a wet-signed client signature card in eQuipt
A pop-up disclosure in eQuipt encourages you to open a wet-signed client signature card. This is because clients who wet-sign a money movement form must be verified against an account opening document. We also accept government issued identification if that ID includes the client's physical signature.
Keep track of OneHub content migration progress
As part of our mission to make your day-to-day easier, we’re consolidating and migrating content from various portals into OneHub. Find updates on ongoing progress through Weekly Edge and the OneHub digital (r)evolution page.
Keep pace with the latest updates in our digital (r)evolution
As our technology continually evolves, your feedback drives real-time enhancements through daily tech releases that empower your business to thrive. Keep pace with the latest updates to the Osaic tech stack (e.g., eQuipt, OneHub, Wealth Management Platform, etc.) by visiting our digital (r)evolution site.
Suggestions or ideas?
 
Do you have ideas for ways we could make it easier for you to do business with us? Send us your feedback or reach out to one of your National Operational Excellence Council (NOEC) representatives.
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Osaic, Inc. 20 E Thomas Rd Suite 2000 Phoenix, AZ, 85012, US

Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc.,Triad Advisors, LLC, and Osaic Institutions, Inc., broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., American Portfolios Financial Services, Inc., and Ladenburg Thalmann & Co., broker-dealers and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, American Portfolios Advisors, Inc., Ladenburg Thalmann Asset Management, Inc., Osaic Advisory Services, LLC., and Securities America Advisors, Inc., registered investment advisers. Advisory programs offered by Osaic Wealth, Inc., Securities America Advisors, Inc., and Triad Advisors, LLC., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser.
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