User Dashboard. Profile details tab #
- Tab contains information provided during investment profile creation and using
- Tab contains several sections:
- Personal information
- Trusted contact
- Your background information
- Financial and Investment information
- Plan information (only for solo401)
- Custodian information (only for sdira)
- Each section has edit button. By click form for section is open in edit mode in popup.
- fields per section:
Personal information #
| field | required? | editable? | Validation |
|---|---|---|---|
| First Name | Yes | Yes | Cannot be filled only with a sequence of spaces; should have at least 2 characters |
| Middle Name | No | Yes | Cannot be filled only with a sequence of spaces; should have at least 2 characters |
| Last Name | Yes | Yes | Cannot be filled only with a sequence of spaces; should have at least 2 characters |
| Date of Birth | Yes | Yes | Format: mm/dd/yyyy. Cannot be a future date or under 18 years; |
| Select Citizenship | Yes | Yes | Can only be submitted with ‘U.S. Citizen’ or ‘U.S. Legal Resident’. Otherwise (‘Non Resident’), an error message appears next to the field |
| Phone Number | Yes | Yes | Format: +1 (XXX) XXX-XXXX. Only digits allowed. 1 could be chanhed with another counry code. |
| SSN | Yes | No | Asked once, and never appears again. IT does not present on the form if provided before on any other form submit. Format: XXX-XX-XXXX. Only digits allowed. |
| Address | —- | - | - |
| Address 1 | Yes | Yes | Cannot be filled only with a sequence of spaces; Should have at least 4 characters |
| Address 2 | No | Yes | Cannot be filled only with a sequence of spaces; Should have at least 3 characters |
| City | Yes | Yes | Cannot be filled only with a sequence of spaces, Should have at least 2 characters, spaces are allowed as separators |
| State | Yes | Yes | Cannot be filled only with a sequence of spaces, Should have at least 2 characters, spaces are allowed as separators |
| ZIP Code | Yes | Yes | Allows 5-digit (XXXXX) and 9-digit (XXXX-XXXX) formats. Only digits and ‘-’ separator allowed, no spaces. Length limited to 9 |
| Country | Yes | Yes | Cannot be filled only with a sequence of spaces, Should have at least 2 characters, spaces are allowed as separators |
Trust contact #
| field | required? | editable? | Validation |
|---|---|---|---|
| Relationship type | Yes | Yes | Cannot be filled only with a sequence of spaces; should have at least 2 characters |
| First Name | Yes | Yes | Cannot be filled only with a sequence of spaces; should have at least 2 characters |
| Last Name | Yes | Yes | Cannot be filled only with a sequence of spaces; should have at least 2 characters |
| Date of Birth | Yes | Yes | Format: mm/dd/yyyy. Cannot be a future date or under 18 years; |
| Phone Number | Yes | Yes | Format: +1 (XXX) XXX-XXXX. Only digits allowed. 1 could be chanhed with another counry code. |
| Yes | Yes | email format |
Your background information #
| field | mandatory? | Editable? | description |
|---|---|---|---|
| Employment | Yes | Yes | Selectbox. Options: Employed (fulltime)/Employed (partime)/Self-employed/Not employed/ Retired/Student |
| Employer Name | Yes | Yes | only for Employed (fulltime)/Employed (partime) options; Cannot be filled only with a sequence of spaces; should have at least 2 characters |
| Your Title/Role | Yes | Yes | only for Employed (fulltime)/Employed (partime) options; Cannot be filled only with a sequence of spaces; should have at least 2 characters |
| Address 1 | Yes | Yes | only for Self-employed/Employed (fulltime)/Employed (partime) options; Cannot be filled only with a sequence of spaces; Should have at least 4 characters |
| Address 2 | No | Yes | only for Self-employed/Employed (fulltime)/Employed (partime) options; Cannot be filled only with a sequence of spaces; Should have at least 3 characters |
| City | Yes | Yes | only for Self-employed/Employed (fulltime)/Employed (partime) options; Cannot be filled only with a sequence of spaces, Should have at least 2 characters, spaces are allowed as separators |
| ZIP Code | Yes | Yes | only for Self-employed /Employed (fulltime)/Employed (partime) options; Allows 5-digit (XXXXX) and 9-digit (XXXX-XXXX) formats. Only digits and ‘-’ separator allowed, no spaces. Length limited to 9 |
| IRS Backup Withholding | Yes | Yes | Checkbox, true/false |
| Shareholder Association | Yes | Yes | Checkbox, true/false |
| FINRA/SEC Affiliated | Yes | Yes | Checkbox, true/false |
| Correspondence | Yes | Yes | only for FINRA/SEC Affiliated = true; Checkbox: true/false |
| Member Firm Name | Yes | Yes | only for FINRA/SEC Affiliated = true; Cannot be filled only with a sequence of spaces, Should have at least 2 characters, spaces are allowed as separators |
| Compliance Contact Name | Yes | Yes | only for FINRA/SEC Affiliated = true; Cannot be filled only with a sequence of spaces, Should have at least 2 characters, spaces are allowed as separators |
| Compliance contact email | Yes | Yes | only for FINRA/SEC Affiliated = true; Cannot be filled only with a sequence of spaces, Should have at least 2 characters, spaces are allowed as separators |
| Ticker symbol list Yes | Yes | only for Shareholder Association = true; Cannot be filled only with a sequence of spaces, Should have at least 2 characters, spaces are allowed as separators |
Financial and Investment information #
| field | mandatory? | Editable? | description |
|---|---|---|---|
| Financial situation | |||
| Are you accredited investor? | yes | Yes | Radiobtn. Options: yes/no |
| Investment objectives | |||
| Investment objectives | yes | yes | Selectbox. Options: Growth/Income/Capital Appreciation/Speculation/Tax mitigation |
| Investment years expirience | yes | yes | Text input |
| How long do you plan to invest? | yes | yes | Selectbox. Options: 1-3 years, 4-7 years, 8-11 years, 11+years |
| How important is it to have immediate access to your invested funds? | yes | yes | Selectbox. Options: Very important/Somewhat important/Not important |
| How much risk are you comfortable with? | yes | yes | Selectbox. Options: Low risk/Medium risk/High risk/Specilative risk |
| Understanding of Risks | |||
| 5 risk statements | yes | No | Checkboxes. Risk statements: - Market and Liquidity Risk: I acknowledge the potential for market fluctuations and limited liquidity in Regulation A and Regulation D offerings ; - Business and Regulatory Risk: I understand the business challenges and regulatory uncertainties associated with investing in these offerings. ; - Limited Information and Fraud Risk: I'm aware of the limited disclosure and potential for fraudulent schemes in Regulation A and Regulation D investments. ; - Illiquidity and Capital Loss: I accept the illiquid nature and the risk of partial or total loss of capital in these investments. ; - Overall Investment Risk: In summary, I recognize and accept the inherent risks, including market volatility, limited liquidity, regulatory uncertainties, and the possibility of financial loss, in investing in Regulation A and Regulation D offerings. |
Plan information (only for solo401) #
| Field | Required? | Editable? | Validation |
|---|---|---|---|
| Name of the Solo 401(k) | Yes | No | Cannot be filled only with a sequence of spaces; should have at least 2 characters |
| EIN | Yes | No | EIN of solo401k, XX-XXXXXXX format |
Custodian information (only for sdira) #
| Field | Required? | Editable? | Validation |
|---|---|---|---|
| Custodian | Yes | No | Options: ALTO/Other |
| Name of Custodian | Yes | No | Collected only if Custodian = Other. Cannot be filled with only a sequence of spaces; should have at least 2 characters |
| Custodian Website Address | Yes | Yes | Collected only if Custodian = Other; format required: https://www.example.com |