An advisor traveling abroad for a vacation (temporary basis):
- MUST contact Cetera before the trip to notify them.
- To access Cetera systems (e.g. AdviceWorks) or Cetera-hosted email, you must notify Cetera and receive approval and confirmation before traveling.
- Go to AdviceWorks. Select Support Center on the left menu. Then select Technology Support. Within Technology Support select Email Support. Provide the countries you will be traveling to when accessing Cetera systems or email as well as the dates in which you will be traveling.
- Please submit your support center ticket at least 2 weeks prior to your travel date.
- What if you forget and don’t notify Cetera prior to traveling? Unfortunately, after you are out of the country, requests to approve access to Cetera systems or email will not be granted.
- Note: access to Cetera email and systems will not be allowed when you are traveling to countries which are on the OFAC list. This includes Iraq, Iran, and North Korea.
- CAN speak by phone to clients who are in the USA.
- In order to access Cetera systems, you will need cell phone reception from the cell phone number on file with Cetera. This is necessary to complete Multi-Factor Authentication (MFA) which is required to gain access to Cetera systems.
- Please note, you cannot buy a foreign SIM card and forward your cell phone for purposes of receiving the MFA password.
- CAN email clients who are in the USA
- CAN place discretionary trades.
- CAN provide advisory advice or financial planning to a client.
- CAN open new accounts.
- CAN recommend buys or sells in existing accounts.
- CAN conduct annual client reviews virtually.
- CAN make address changes, beneficiary changes, other account servicing activities.
A client traveling abroad for a vacation (temporary basis):
- The rep CAN speak to the client by phone when the client is out of the country.
- The rep CAN email the client when the client is out of the country.
- The rep CAN service the account when the client is out of the country.
- The rep CAN place discretionary trades when the client is out of the country.
- The rep CANNOT open new accounts when the client is out of the country.
NOTE: The above guidance is for traveling abroad on a temporary basis. Advisors cannot reside outside of the USA. It is not permitted to solicit new business or provide advice to residents in any foreign country.
Items not specified should be considered non-permitted unless advised otherwise by the Prosperity Network Compliance Team.
Please contact the Prosperity Network Compliance Team with any questions:
compliance@prosperityadvisors.com or 913-529-5500 Option 2.
Internal Use Only