It is not permitted for you or your client to sign forms electronically using any other method other than Adviceworks-Docusign. All documents signed electronically by the client must be accompanied with the “eSignature Certificate of Completion.” The e-signed document(s) MUST be done in Adviceworks via Docusign only. These requirements are in place so that Cetera can meet legal obligations for collecting client approvals in a secure fashion. There are many systems that do not meet these requirements. Electronic signatures via an iPad, Adobe, Foxit, etc are not permitted by Cetera and will result in the paperwork being considered “Not In Good Order” (NIGO). The paperwork will then be required to be wet-signed or resubmitted with acceptable signatures.
Note: A signature with a typed date is one sign that it is an electronic signature. Please do not type dates for wet signatures.
Below is a list of prohibited activities- regardless of whether paperwork is e-signed or wet-signed:
- Accepting forms on which the client’s signature has been stamped.
- Signing the name of a client on any form, with or without the client’s permission.
- Requesting that clients sign or date blank or incomplete forms.
- Taking a signature from one form and placing it on another form.
- Certifying that one witnessed the client’s signature on an application when this is not the truth.
Please contact the Prosperity Network Compliance team with any questions: compliance@prosperityadvisors.com or 913-529-5500, option 2.
Internal Use Only