Change a client's investment objective

If you need to update a client's investment objective two degrees or more (e.g. Conservative Growth to Aggressive Growth), there are two steps:

1. Use Envestnet® to update the investment objective on file with Securian and
2. Use Emma to obtain a client signature

Note: if you are only changing your client's investment objective one degree (e.g. Conservative Growth to Growth), a client signature (Step 2) is not required.

Make sure the client plan is aligned to the new investment objective.

Step 1 - Envestnet®

1. Pull up the client’s account.
2. Under the “Service” tab, click the plus sign to get a drop down menu.
3. Select Modify Goal.
4. Go to the Risk Manual Assessment page and select your new investment objective.
5. Follow the remaining prompts to generate new documents for Securian.

Step 2 - Emma [skip this step if the investment objective is only changing one degree (e.g. Conservative Growth to Growth)]

1. Pull up the client’s account (can be done directly in Emma or through SmartOffice).
2. Click Service an existing account.
3. For all Symplany℠ accounts, select Brokerage or investment advisory (Pershing).
4. Under Account maintenance forms, select CAI update.
5. Follow the prompts to continue the Service request.
6. On the account page select the Investment objective that corresponds with what you selected in Envestnet®.
7. Follow the remaining prompts until you have submitted your Emma service request.