L.M. KOHN & COMPANY REGISTERED REPRESENTATIVE GUIDE

This guide will give you all of the necessary instructions on how to use the Financial Tracking system. You may access the

Financial Tracking homepage login screen by going to https://secure.financial-tracking.com/login. If this is your first time

logging in, your user ID will be your e-mail address, your password will be Welcome1! (once you login for the first time,

you will be prompted to change your password). Should you become locked out due to forgotten password, please

contact Drew Kohn at drewk@lmkohn.com to reset your password.

There are two main sections of the Financial Tracking system that you will need to be familiar with. Although the

dashboard contains several different categories, it will be the Activity Center and the Forms/Documents categories that

will be the most relevant to everything you will be doing in this system.

Activity Center – In general, the Activity Center will house “activities”, which are submissions from the representative

and to L.M. Kohn for approval. L.M. Kohn compliance department will review the activity submissions and either

approve or deny them. Notifications will be sent to the representative in either case to alert them that an activity has

been acted upon by compliance.

Forms/Documents – The Forms/Documents section of the site will house documents that require “certifications”. These

Forms/Documents are sent from L.M. Kohn and to the representative in need of completion and certification of the

accuracy of the form. This will be most relevant in regards to the monthly logs (Incoming Correspondence and Check,

Purchase & Sales logs) as well as the annual packet of forms that all associated persons fill out. These will show up in the

Forms/Documents section of the site.

This guide will walk you through three sections: the Home Page (Landing Page), the Activity Center, and the

Forms/Documents section.

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TABLE OF CONTENTS

Home Page/Landing Page Navigation…………………………………………………………………………………………………………………… 2

Activity Center……………………………………………………………………………………………………………………………………………………….. 3

Accessing the Activity Center……………………………………………………………………………………………………………………. 3

Submitting an Activity for Approval…………………………………………………………………………………………………………. 3 – 4

Viewing Your Activities…………………………………………………………………………………………………………………………….. 5 – 6

Forms/Documents…………………………………………………………………………………………………………………………………………………. 6

Accessing Pending or Past Due Forms/Documents…………………………………………………………………………………… 7

Viewing/Completing a Pending or Past Due Form/Document…………………………………………………………………. 8

HOME PAGE

1. Landing Page – After entering your login information, you will be taken to the Financial Tracking landing page, or home page. It is from this page that you will be able to navigate the site to submit requests, or complete documents that require your completion by a certain date. After logging in, your landing page will look like this:

2. Navigating the Landing Page – The landing page is very easy to navigate, the three “pancakes” on the left side of

the words “Employee Tradesphere” will get you to the dashboard that will give you access to all the capabilities you will need to utilize on the system. Here is what that looks like:

You will notice this exact same dashboard in other areas of the site outside of the landing screen as well. These same categories you see in the dashboard above, look like this on other screens:

You may view activities that were

submitted for approval here.

When compliance sends out forms that need

completion by you, it will show up here in the

Forms/Documents pending/past due section

You may disregard these sections

as they will rarely be used.

CLICK HERE

DASHBOARD

ACTIVITY CENTER

The Activity Center will be used to submit and view activities that are submitted from an associated person and to L.M. Kohn for compliance approval. That includes the following types of submissions (referred to as “activities”): Advertising or outgoing correspondence request, General client service (change of name/address, change of rep, change of dealer, change of ownership, mutual fund switch letter, and more), outside business activity requests, request to add social media accounts, Fund Direct/Annuity applications, registered representative information update, and more. Below are the instructions for using the Activity Center:

3. Activity Center – The activity center is where you would go to submit “activities” that require compliance

approval. You may also use the activity center to view pending activities, approved activities, and denied

activities. This will be the portion of the site that you will use the most. You may access the activity center by

clicking “Activity Center” from the dashboard:

4. Submitting an Activity for Approval – Once you click “Activity Center”, you will have three options to choose

from. If you are submitting an activity for compliance approval, you would select “Pre-Approve an Activity”:

After clicking this, it will take you to the main activity submission screen. Your name will be showing under

“Employee Name” and next to “Activity Type” you will choose which type of activity you will be submitting for

compliance approval:

Once you select which activity you wish to submit, the questions that you will have to complete will

automatically populate. You must fill out the questions required to complete the submission, here is an example

activity submission:

You will need to upload attachments if necessary in order to complete the submission. In order to upload

attachments, click the green “+Add Attachments…” button, and you will have to find them wherever they are

saved in your computer. Once you have completed all of the required questions, click the green “Submit” button

to submit this activity for approval.

After you have successfully submitted an activity, you will notice on your landing page that there is an activity

request pending:

5. Viewing Your Activities – Should you want to view any activities that are pending, approved, or denied you may

access these through the activity log. There are a few ways to get there, the first would be to click on the

“Activity Requests” section on the landing page, that will take you directly to the activity log home screen:

The other way would be to access it from the dashboard. Similar to how you would submit an activity for

approval, you would click the “pancakes” button next to “Employee Tradesphere” then select “Activity Center”

and then “View Activity Log”:

CLICK HERE

CLICK HERE

Once you get to the activity log home screen, you may select what type of activities you wish to view. You may

view activities that are currently pending, activities that were previously approved, or ones that were denied.

Here is what that screen looks like:

You may also filter this by which type of activity you wish to view, and time period of the activity. If you have

several activities that are pending this could be useful to view the status of each one.

NOTE: Notice how your dashboard is available at all times on the site, you could go straight to submitting an

activity from this screen, simply hover your mouse of “Activity Center” and select “Pre-Approve an Activity”:

FORMS/DOCUMENTS

The Forms/Documents section will be used for anything that is sent from L.M. Kohn compliance and to the

representative in need of completion. Our monthly Incoming Correspondence and Check, Purchase & Sales logs

will show up in the Forms/Documents section as well as our annual required rep forms.

6. Forms/Documents – You will know if there is a form/document that you need to fill out if there is a pending

Form/Document on the landing page. It will show up as “Pending” meaning you need to view the Form/Doc and

complete it by a specified date. Here is what it will look like when there is a pending form:

If there is a Form/Document that is past due, it will show up in the “Past Due” section rather than the “Pending”

section.

7. Accessing Pending or Past Due Forms/Documents (Forms/Docs homepage) – Similar to how you would view an

activity request, it is very easy to view a pending or past due form/document. From the landing page, all you

have to do is click the “Pending” or “Past Due” section and it will take you directly to the Forms/Docs home

page:

The other way of accessing the Forms/Documents home page is through the dashboard by click the “pancakes”

button. After clicking the “pancakes” button, click “View Forms/Docs” and then click “View”. This will also take

you to the same Forms/Docs homepage so you can view and complete and forms/documents that are pending.

Here is how to use the dashboard to access the homepage:

CLICK HERE

CLICK HERE

8. Viewing/Completing a Pending or Past Due Form/Document – Once you follow the instructions above to get to

the Forms/Documents homepage, you will need to be able to go into the form and complete and submit it. From

the homepage of the Forms/Documents section, you will see the title “Document Pending Certification”. There

will be a list of Forms/Documents that are pending, meaning you must complete and submit the document. To

go into the document, click “Review” under the “View” column seen below:

After clicking “Review”, you will be taken into the document in order to complete and submit. You will not be

able to complete the document unless you answer all of the required questions, as well as check the

certification box at the bottom of the document. Please make sure you fill out the document completely before

submitting. A red star next to the question means it is a mandatory question. You may add attachments when

necessary by clicking “Choose File” and attaching something that has been saved to your computer. Below is an

example of what the new Incoming Correspondence and Check, Purchase & Sales logs will look like:

CLICK HERE

Check the certification box before submitting

You can submit now or save

as a draft to complete later