Individuals with Associated Firms Required Items Inquiry

Use the Individuals with Associated Firms Required Items Inquiry page to report the same information as the Required Items Inquiry but on individuals associated with an agency. You can report required items for individual producers affiliated with any firm or with a specific firm.

ClosedView screen capture of report criteria

ClosedView screen capture of report results

To open the Individuals with Associated Firms Required Items Inquiry page, from the Inquiries menu select Required Items, and then select Individuals with Associated Firms Required Items Inquiry.

The Individuals with Associated Firms Required Items Inquiry page contains the following sections:

ClosedSearch Firm

Use the Search Firm page to search for a single firm producer (agency) with affiliated producers for which required items were requested or received in the selected time period you want to report.

The Search Firm page consists of the following sub-sections:

ClosedSearch Fields

Use the Search Fields to enter report criteria. At least one report criterion is required.

Fields and controls include the following:

  • Firm Name:Enter a search string on firm name. You may use as few as two characters in your search string. May contain numeric characters. Wildcard characters are not allowed. May not contain double quotation marks (").
  • EIN: Enter a producer's entire Federal Employer Identification Number. Partial searches not allowed. Maximum 9 characters without a separating hyphen or 10 characters with a separating hyphen.
  • NPN: Enter a producer's entire National Producer Number. Partial searches not allowed. Maximum 10 characters.
  • Active Business Unit: Select from the dropdown menu an the short name of an active business unit to which a producer is assigned. May not be the only search criterion.
  • License Number: Enter the entire number of a producer's state license, either active or inactive. Partial searches not allowed. Maximum 15 characters.
  • License State: Select from the dropdown menu a state in which a producer holds an active or inactive license.
  • External System ID: Enter a producer's entire external system ID code, including leading zeroes, either active or inactive. Partial searches not allowed. Maximum 22 characters.
  • Primary External ID Only: Click to checkmark the checkbox to constrain a search using anExternal System IDcriterion to only those external system IDs marked as a "primary" ID on a producer's record. The search will ignore a match on anExternal System IDthat is not marked as "primary." (For more information, see Maintain External System Identifiers.)
  • Records Per Page: If multiple records met your search criteria, the default number of records displayed per page of results is 10. From the dropdown menu, select a value in increments of 10 up to 50 and then execute or re-execute the search to display a number of records up to the selected value in the Report Results sub-section.
  • Search: Click to execute the search based on the entered search criteria.

If only one record met your search criteria, the Search Firm page will close, and the selected firm's summary information will display in the Associated Firm section of the Individuals with Associated Firms Required Items Inquiry page.

If multiple records met your search criteria, they will display in the Search Results section. You then must click the Name of a selected firm to close the Search Firm page and display the selected firm's summary information will display in the Associated Firm section of the Individuals with Associated Firms Required Items Inquiry page.

  • Cancel: Click to abort the page operation and open the Producer Manager Home page.

ClosedSearch Results

If multiple producer records met your search criteria, they will display in the Search Results sub-section of the Search Firm section.

Fields and controls include the following:

  • Name: For each listed producer record, displays a producer name as a blue hyperlink. Click the column heading to toggle alphabet or reverse alphabetic sorting of the Search Results on the Name field.

To close the Search Firm page and display the selected firm's summary information will display in the Associated Firm section of the Firm Associated Individual Appointments Inquiry page, click a desired producer Name hyperlink.

  • EIN: For each listed producer record, displays a producer's federal Employer Identification Number. Click the column heading to toggle highest-to-lowest or lowest-to-highest sorting of the Search Resultson theEINfield.
  • License State/#: For each listed producer record, displays the state codes of the states in which a producer holds at least one active or inactive license and the corresponding license numbers. Click the node () to expand the record row to display all of the producer's license state and number information. Click the node () to collapse the information.
  • NPN: For each listed producer record, displays a producer's National Producer Number. Click the column heading to toggle highest-to-lowest or lowest-to-highest sorting of the Search Resultson theNPNfield.
  • Active BU: For each listed producer record, displays the name of the business unit(s) with which a producer is actively associated. Click the node () to expand the record row to display all of the producer's business unit information. Click the node () to collapse the information.
  • City: For each listed producer record, displays the producer's mailing address city. Click the column heading to toggle alphabetic or reverse alphabetic sorting of the Search Resultson theCityfield.
  • State: For each listed producer record, displays the producer's mailing address state. Click the column heading to toggle alphabetic or reverse alphabetic sorting of the Search Resultson theStatefield.
  • Displaying[v] - [w](of[x]matching records): Displays the range in numbers of producer records currently displaying in the Search Results sub-section out of the total number of producer records returned by a search.
  • Page[y]of[z]: Displays the number of the page currently displaying out of the total number of pages of producer records returned by a search.
  • Go To Page: Available only when more than 10 records are returned by a search, resulting in multiple pages of Search Results. Select from the dropdown menu the number of the page of producer records to which you wish to navigate.
  • Go: Click to navigate to the page number of Search Results selected in the Go To Page dropdown menu.

ClosedReport Criteria

Enter report criteria about the required items you want to follow up on.

Fields and controls include the following:

  • Status: Required.From the dropdown menu, select the status of required items you want to report: Requested, Received, or Pending.
  • Compare date range with latest request date:Available only when value ofStatusfield is Requested. If a producer record contains multiple requested dates for a single required item, click to checkmark the checkbox to include the required item in the report results only if the most recent request for the required item falls within the date range established in theBegin DateandEnd Datefields. Uncheckmark the checkbox to include the required item in the report results ifanyrequest for the required item falls within the date range established in theBegin DateandEnd Datefields.
  • Begin Date: Required.To report required items with status dates within a certain date range, enter the first date of the date range, using the mmddyyyy date format. Or, click the Calendar button () from which you can click to select a date.
  • End Date: Required.To report required items with status dates within a certain date range, enter the last date of the date range, using the mmddyyyy date format. Or, click the Calendar button ()  to open a popup calendar from which you can click to select a date.
  • Required Item: To report required items without regard to specific required item type, make no selection from the dropdown menu. Or, to filter the report results to include only required items of a specific type, select the required item type from the dropdown menu.
  • State: To report required items without regard to state, make no selection from the dropdown menu. Or, to filter the report results to include only required items associated with a specific state, select the state name from the dropdown menu.
  • Follow-up Date Between: To report required items with follow-up dates within a certain date range, enter a date value in the following fields:
  • Begin Date: Enter the first date of the date range, using the mmddyyyy date format. Or, click the Calendar button () from which you can click to select a date.
  • End Date: Enter the last date of the date range, using the mmddyyyy date format. Or, click the Calendar button ()  to open a popup calendar from which you can click to select a date.
  • Staff Members: To report required items without regard to the recording staff member, make no selection from the box. Or, to filter the report results to include only required items recorded by a specific staff member, click to select one or multiple staff member names in the box. To select multiples, press the CTRL key on your keyboard while clicking; click again while pressing the CTRL key to de-select.
  • Business Units: To report required items without regard to reported producers' business unit criteria, make no selection from the box. Or, to filter the report results to include only required items concerning reported producers assigned to one or multiple business units, click to select one or multiple business unit short names in the box. To select multiples, press the CTRL key on your keyboard while clicking; click again while pressing the CTRL key to de-select.

ClosedReport Results

Report results display required items information for firm-affiliated producers that met the report criteria. Results may be narrowed by selected filter criteria.

The header of the report results window displays a summary of the selected report criteria.

Report results are sorted in ascending order by the value of affiliated firms' Firm ID.

Results include the following data fields:

  • Firm Name: For each firm listed with affiliated producers with required item information that met the report criteria, displays the firm name.
  • Firm ID: For each firm listed with affiliated producers with required item information that met the report criteria, displays the firm's Producer Manager record ID.
  • EIN: For each firm listed with affiliated producers with required item information that met the report criteria, displays the firm's Federal Employer Identification Number.
  • Business Units: For each firm listed with affiliated producers with required item information that met the report criteria, displays the short names of the firm's assigned business units.
  • Firm External System ID:  For each firm listed with affiliated producers with required item information that met the report criteria, displays the external system identifier information of the firm for which the required item was recorded, including the following:
  • External System Type: For each external system identifier listed, displays its type.
  • ID: For each external system identifier listed, displays its ID or code.
  • Business Unit: For each external system identifier listed, displays the business unit associated with the external system identifier.
  • Primary?: For each external system identifier listed, displays whether the external system identifier is designated at the producer's primary external system identifier: "Yes" if primary; "No" if not primary.
  • Inactive?: For each external system identifier listed, displays whether the external system identifier is inactive: "Yes" if inactive; "No" if active.

For each firm listed with affiliated producers with required item information that met the report criteria, displays the following information about affiliated producers:

  • Individual Name: For each required item listed that met the report criteria, displays the name of the individual licensee for which the required item was recorded.
  • Indv ID: For each required item listed that met the report criteria, displays the Producer Manager record ID of the individual licensee for which the required item was recorded.. (For more information, see Details.)
  • SSN: For each required item listed that met the report criteria, displays the Social Security Number of the individual licensee for which the required item was recorded. (For more information, see Details.)
  • Business Units: For each required item listed that met the report criteria, displays the short name(s) of the business units to which the producer is actively assigned (sorted alphabetically).
  • Individual External System ID: Available only withProducer Typeof Individual Licensee. For each required item listed that met the report criteria, displays the external system identifier information of the individual licensee for which the required item was recorded, including the following:
  • External System Type: For each external system identifier listed, displays its type.
  • ID: For each external system identifier listed, displays its ID or code.
  • Business Unit: For each external system identifier listed, displays the business unit associated with the external system identifier.
  • Primary?: For each external system identifier listed, displays whether the external system identifier is designated at the producer's primary external system identifier: "Yes" if primary; "No" if not primary.
  • Inactive?: For each external system identifier listed, displays whether the external system identifier is inactive: "Yes" if inactive; "No" if active.
  • Individual Required Items: Available only withProducer Typeof Individual Licensee. For each individual licensee producer listed that met the report criteria, displays his or her required items information, including the following:
  • State: For each required item listed, displays the name of its associated state.
  • Item Type: For each required item listed, displays its type.
  • Business Unit: For each required item listed, displays its associated business unit.
  • Status: For each required item listed, displays its current recorded status.
  • Created: For each required item listed, displays the date on which it was recorded.
  • Requested: For each required item listed, displays the date on which it was requested.
  • Received: For each required item listed, displays the date on which it was received.
  • Follow-up: For each required item listed, displays the date on which it is due for follow-up (i.e., "tickler date").
  • All Requested Dates: For each required item listed that met the report criteria, displays the date on which it was requested.
  • Submitting Staff Member: For each required item listed that met the report criteria, displays the name of the recording staff member.

ClosedPage Controls

Controls include the following:

  • Search Specific Firm: Click to open the Search Firm page, where you can search for a specific firm to include as report criteria.

  • Remove Firm: Click to remove a selected firm as report criteria.

  • Submit Offline: Click to generate the inquiry offline, where it can be retrieved in multiple output formats by any staff member with the permissions to view it. For more information, see Recent Reports.

  • View/Refresh Report: Click to generate the inquiry "on demand" in HTML format online. The report will open in the separate Inquiry Output Window.

  • Cancel: Click to open the Producer Manager Home page.

Warning

Results of the Individuals with Associated Firms Required Items Inquiry may contain unmasked, full Social Security Number information for individual producers. It is not possible to configure the system to mask or hide these values in the report results. However, using a security role setting, a user with administrator permissions may deny other users the permission to run this inquiry or view inquiry results requested by other users. For more information, see Maintain Security Role.

Notes

Note: If you are generating an "on-demand" report by clicking the View/Refresh Report button, the range between the status Begin Date and End Date fields may not exceed 90 days. To expand the date range in which to report required items, generate the report offline by clicking the Submit Offline button. After it generates, the report will be available for download from the Recent Reports page.