FAQs | SurePrep Professional Tax Automation Software

FAQ

TaxCaddy

Which institutions can my clients link to their TaxCaddy accounts?

A.

Acorns
Acura Financial Services
ADP iPayStatements
ADP Payroll Workcenter
ADP Portal
ADP Run Payroll
ADP Workforce Now
AimLoan Mortgage
AllianceBernstein Investments
Alliant Credit Union
Allstate Financial
Ally Auto
Ally Bank
American Education Services (AES)
American Express
American Express Personal Savings
American Funds
American Funds Retirement
Ameriprise Financial
Amerisave Mortgage
Arvest Mortgage
Ascentis
Astoria Federal Savings Mortgage
Audi Financial Services


B.

Bank Leumi USA
Bank of Albuquerque
Bank of America
Bank of Arizona
Bank of Arkansas
Bank of Colorado Business
Bank of Hawaii Mortgage
Bank of Kansas City
Bank of Oklahoma
Bank of Stockton
Bank of Texas
Bank of the West
Barclay Cards
Barclays Online Banking
BB&T
BBVA Compass
Betterment
BMO Harris Bank
BMW Financial Services
Boeing Employee’s Credit Union
Boston Private
Bryn Mawr Trust


C.

Cal HFA Mortgage
Cambridge Investment
CapitalOne 360
CapitalOne Bank
CapitalOne Credit Cards
CapitalOne GM Card
CapitalOne Mortgage
CapitalOne Sharebuilder
Cardinal Financial Mortgage
CarMax
CCO Mortgage
CENLAR Mortgage
Central Mortgage
Centris FCU Mortgage
Charles Schwab
Chase
Chelsea State Bank
Citi Wealth Management
Citibank
CitiBusiness Payroll
Citicards
CitiMortgage
Citizens Bank
Citizens Investment
Citizens Mortgage
City National Bank
City of Los Angeles Retirement
City of Mesa Retirement
Coastal Federal Credit Union
College Choice Advisors 529
College Choice Direct
College Invest Direct
College Save 529
College Saving Iowa
Colorado State Bank and Trust
Comerica Bank
Comerica Bank Credit Cards
Comerica Bank Mortgage
Commerce Bank
Commerce Bank Commercial Cards
Commerce Brokerage
Commerce Mortgage
County of Los Angeles Retirement
County of Milwaukee Retirement
Cross Country Mortgage


D.

DFAS MyPay
Digital Federal Credit Union
Discover
Discover Bank
Ditech Mortgage
Dovenmuehle Mortgage


E.

e*Trade
EastWest Bank Mortgage
Edward Jones
Edward Jones Credit Cards
Elan Financial Credit Cards
Empower Retirement
Everbank
Evolve Mortgage


F.

FedLoan Servicing
FIA Card Services
Fidelity
Fifth Third Bank
Fifth Third Bank Retirement
Fifth Third Securities
First County Bank
First County Bank Business
First Hawaiian Bank
First Merit Business
First National
First Republic Bank
First Tech Federal Credit Union
First United Bank Mortgage
FirstBank
Flagstar Bank
Flagstar Business
Flagstar My Loans
FNB Bellville
Ford Credit
Franklin Templeton Investments
Freedom Mortgage
Front Range Bank
Frost Brokerage


G.

Georgia’s Own CU
GM Financial
GMFS Mortgage
Goldman Sachs Wealth Management
Great Lakes Student Loans
Great West Retirement Services
Guaranteed Rate Mortgage
Guaranty Bank and Trust
Guaranty Loans
Guidance Residential Mortgage
Gusto


H.

H&R Block
Hancock Investments
Happy State Bank
HI 529
HomeStreet Bank Mortgage
Honda Financial
HSA Bank
HSBC AccountCentral Credit Card
HSBC Bank
Huntington Bank
Huntington Bank Mortgage
Huntington Retirement
Hyundai Motor Finance


I.

Ideal 529
IndyMacMortgage
Infiniti Financial Services
Inova Payroll
Intuit Paycheck Records
IntuitViewMyPaycheck


J.

John Hancock NY Pensions
John Hancock Pensions
JP Morgan
JP Morgan Asset Management


K.

KeyBank
Kia Motors Finance


L.

LaSalle St Securities
Learning Quest 529
LendingClub
Lexus Financial Services
Liberty Mutual
Lincoln Financial Advisors
Lincoln Financial Securities


M.

M&T Bank
M&T Bank Mortgage
Mass SMART Retirement
MassMutual Retirement
Mechanics Bank
Mercedes-Benz Financial Services
Merrick Bank
Merrill Lynch Wealth Management
Mesirow Financial
MESP
Metlife Mortgage
MetLife Retirement
Metlife Securities
Michigan Mutual Mortgage
Middlesex Savings Bank
Mini Financial
Missouri Most 529
MML Investors
Mohela
Montana Saves 529
Morgan Stanley Wealth Management
myStreetScape


N.

National Securities
Nationstar Mortgage
Navient
Navy Federal Credit Union
NCSECU
Nelnet
New American Funding
Nicolet Bank
Nissan Motor Finance
Northern Trust
Northern Trust Credit Cards
Northwestern Mutual Investments
NYC DCP Retirement
NYLife Securities
NY’s 529 Direct


O.

Ocwen Mortgage
Ohio College Advantage 529
Oppenheimer Wealth Management
OptionsXpress
Optum Bank
Opus Bank Business


P.

PA 529 College Savings
Park Avenue Securities
Paychex
Paychex eServices
Paycom
Paycor
PayPal
PayPal Credit
Penn State Hershey Retirement
PennyMac Mortgage
Pentagon Federal Credit Union
PHH Mortgage
Pinnacle Bank Business
Pinnacle Bank SC
PNC
PNC Mortgage
Principal Financial Personal
Prosperity Bank TX
Provident Funding
Prudential Brokerage
Prudential Retirement


Q.

Quicken Loans
QuickenLoans SchwabBank


R.

Raymond James
Regions Bank
Rhode Island Housing Mortgage


S.

Sallie Mae Student Loans
Santander Bank
ScholarShare
Schwab Retirement
Scottrade
SECUMD
SECUMD Business
Seneca Mortgage
Siebert
Silicon Valley Bank
Simple
Smart 529
SoFi Mohela
SSgA Upromise 529
State Farm Bank
State of Florida Retirement
State of Mississippi Retirement
State of South Carolina Retirement
Suntrust Bank
Suntrust Investment
Suntrust Mortgage
Suntrust Online Cash Manager
Suntrust Retirement
Sure Payroll
Synchrony Bank


T.

T. Rowe Price Investment
T. Rowe Price Retirement
TD Bank
TD Bank Business Direct
TD Bank Credit Card
TDAmeritrade
TDAmeritrade Institutional
TDWealthManagement
The Gift Plan
TIAA-CREF
Tower Federal Credit Union
Toyota Financial Services
Trinet
TurboTax


U.

UBS Wealth Management
UBT Mortgage
Ultipro
UMB Bank HSA
Union Banc Investment
Union Bank
Unitus CCU
US Bank Home Mortgage
USAA
USBank
USBank Access Online
USD Payroll


V.

Valic Financial
Vanguard
Vanguard Institutional
Virgin America Credit Card
Volvo Financial
Voya Financial
Voya Retirement
VW Credit


W.

Washington State Employees Credit Union
Wealthfront
Wells ASC Mortgage
Wells Fargo
Wells Fargo Advisors
Wells Fargo Dealer Services
Wells Fargo Mortgage


Z.

Zions Bank
Zions Bank Business


#.

 

360 Mortgage

Can firms who do not use other SurePrep products and services (e.g., 1040SCAN) still use TaxCaddy?

Yes, TaxCaddy features will work for standalone users as long as it is for one of the SurePrep supported tax software (CCH Axcess Tax, CCH Global fx Tax, CCH ProSystem fx Tax,  GoSystem Tax RS, Lacerte and UltraTax). Firms that do not use SurePrep supported tax software can still use TaxCaddy but some features will not be available (e.g., customized document request list). Submit the Talk to Sales form for more information.

Security

Hosted Web Servers

The SurePrep web servers are hosted by IBM at two of their data centers in Dallas and managed by SurePrep staff. Our servers and firewalls are monitored on a 24/7 basis. Performance reports are generated to assure maximum operational availability. Citrix NetScalar load balancing is in place to achieve the best possible system performance. Through monthly patch management, we are constantly updating our security software to protect against unauthorized access to our network systems. Daily back-ups are performed and stored off-site.

Facility Security

  • Access limited to IBM IT staff only
  • Proximity security badge access
  • Individual card key access
  • Digital security video surveillance

Environmental Controls

  • Static free environment
  • 24 X 7 NOC personnel presence
  • Redundant Liebert 30-ton HVAC units
  • Pre-Action dry pipe fire suppression

Network Operations Center

  • Permissively neutral network
  • Multi-homed connectivity with redundant 10 Gbit/s Tier 1 carriers (over 80 Gbit/s bandwidth)

Building Power

  • Continuous, uninterrupted operation
  • N + 1 paralleled generator and UPS power systems

Certifications

  • IBM data centers are SAS-70 Type II and SSAE 16 certified.

SurePrep Tax Center

The SurePrep Tax Center is a Microsoft SQL based ASP application.  Password protected logins restrict access to registered users.  User passwords are encrypted in the SQL database and a log is maintained of all users that access the system.  The SurePrep Tax Center uses 2048-bit Secure Socket Layer encryption for all data transfers.  This is the same encryption technology used by banks for securing online banking transactions.

Non-disclosure / Confidentiality Agreements

All SurePrep employees in the U.S. and India are required to sign non-disclosure/confidentiality agreements.  Each employee is bound by the agreement and not allowed to discuss information from engagements they are working on with anyone unless there is a question related to the preparation of the engagement.  Preparers and reviewers are only allowed to request help from their direct supervisors.

Service Centers

SurePrep has implemented a comprehensive service center security policy that is designed to ensure the protection of data. Security measures include policies that:

  1. Restrict physical access to the processing and server environments.
  2. Ensure a paperless environment so data cannot be removed from the facility.
  3. Standard computer hardware and software configurations restrict access to email and Internet sites.
  4. Thin clients are used with centrally managed servers. No data ever resides on the diskless thin client, and provide only keyboard, video and mouse input.
  5. PC-based workstations do not have CD or floppy drives and USB ports are disabled.

Certifications

  • SurePrep is ISO 9001:2008 Certified.

Physical Security

  • A security guard is stationed at the entrance.
  • Access card required to enter the facility.
  • Access card required to enter the server room.  Access is restricted to the IT and service center manager.

Paperless Environment

  • Returns are prepared in a paperless environment.  No source documents or tax returns are printed
  • The printer in the server room is limited to printing management reports
  • Paper shredders are used by management to shred management reports

Personal Belongings

  • Briefcases and other personal belongings are not allowed in the service center

Hardware

  • There are no removable media devices.  PC hard drives are read only.

Internet Access

  • No access to email
  • Outlook and Outlook Express have been removed from all PC’s
  • No access to internet except for:
    • SurePrep site for return processing
    • Global fx site for return processing
    • GoSystem RS site for return processing
    • RIA Checkpoint access is allowed for supervisors only

Software Configuration for PC-based Workstations

  • Windows XP or 7
  • MS Word and Excel
  • Acrobat Reader or Bluebeam
  • McAfee antivirus
  • WinZip, WinRAR or PeaZip
  • SurePrep processing software
  • Tax processing software

1040SCAN FAQs

Document Coverage List

• All federal organizer pages
• Government forms:
–  W-2: Wages
–  W-2C: Wages Corrected
–  W-2G: Gambling Winnings
–  W-3: Transmittal of Wages and Tax Statement
–  1099-B: Sale & Disposition of shares and securities
–  1099-INT: Interest
–  1099-DIV: Dividend
–  1099-C: Cancellation of Debt
–  1099-G: State/Local Income Tax Refund
–  1099-LTC: Long Term Care Benefits
–  1099-MISC: Miscellaneous Income
–  1099-OID: Original Issue Discount
–  1099-PATR: Patronage Dividends
–  1099-R: Retirement Income
–  1099-RRB
–  SSA-1099: Social Security Benefits
–  1099-Q: Payment from Qualified Education Programs
–  1099-QA
–  1099-SA: Distribution from an HSA, Archer MSA or Medicare advantage MSA
–  Schedule K-1 Form 1065: Partnership Income
–  Schedule K-1 Form 1120S: S Corporation Income
–  Schedule K-1 Form 1041: Trust Income
–  1098: Mortgage Interest Expense
–  1098-T: Tuition and Fees Expenses
–  1098-E: Student Loan Interest Expense
–  5498-QA
–  5498: Retirement contribution
– MA 1099-HC: Individual Mandate – Massachusetts Health Care Coverage
– Form 1095-A: Health Insurance Marketplace Statement
– Form 1095-B: Health Coverage
– Form 1095-C: Employer-Provided Health Insurance Offer and Coverage
– Form CCC-1099G
– Form CSA 1099R – Statement of Survivor Annuity paid
– 1065B
– 1099-K
– K-1 Cover Letter
– K – 1 Package
– Form 2439: Notice to Shareholder of Undistributed Long-Term Capital Gains
– Form 5498-SA: Contribution from an HSA, Archer MSA or Medicare advantage MSA
– Form 8283

–  Resident State K-1s: (Applicable to all tax software except UltraTax)
—  AL
—  AR
—  CA
—  DC (1065)
—  IL
—  IN
—  KY
—  MA
—  MD
—  MS
—  NC
—  OH
—  PA
—  SC
—  VA
—  VT
—  WI
—  WV

–  Resident State K-1s
—  GA (1065/1120S – Only applicable to ProSystem fx Tax & Lacerte)
—  HI (Only applicable to GoSystem Tax RS & Lacerte)
—  NJ (1041 – Only applicable to Lacerte)
—  NJ (1065/1120S – Applicable to ProSystem fx Tax & Lacerte)

–  Nonresident State K-1s (Applicable to all tax software except UltraTax):
—  AL
—  AR
—  GA (1065/1120S)
—  IL
—  IN
—  KY
—  MD
—  MS
—  NC
—  NJ
—  OH
—  PA
—  SC
—  VA
—  VT
—  WI
—  WV

–  Nonresident State K-1s:
—  CA (Only applicable to ProSystem fx Tax & Lacerte)
—  HI (Only applicable to GoSystem Tax RS & Lacerte)
—  MA (Only applicable to ProSystem fx Tax & Lacerte)
—  NY (Only applicable to ProSystem fx Tax & Lacerte)

–Brokerage Statements–
– 1St Global Capital Corporation
– 1st Source Bank
– Abbot Downing
– Acadia Trust, N.A.
– Acorns Securities LLC
– Addison Gibson Foundation
– Alaska Trust Company
– Allen Trust Company
– Alliant Securities Inc
– Allstate Financial Services LLC
– Amarillo
– Amegy Bank N.A.
– America Northcoast Securities
– American Century Investment Services, Inc.
– American Enterprise Investment Services Inc
– American Portfolios Financial services Inc.
– Ameriprise Certificate Company
– Ameritas Investments Corp.
– Ameritrade Clearing Inc.
– Ameritrust Corporation
– AMG National Trust Bank
– Anawon Trust
– Apex Clearing
– Arlington Trust Company
– Arvest Bank
– Asset Mark Trust Company
– Associated Trust Company
– Atlantic Trust Company
– AUSDAL Financial
– AXA Advisors
– B. Riley & Co. LLC
– B.C.Ziegler and Company
– Baker Boyer Bank
– Bancorp South Bank
– Bancwest Investment Services
– Bangor Savings Bank
– Bank of America
– Bank Of America Private Wealth Management
– Bank Of Blue Valley
– Bank of Hawaii
– Bank of New York
– Bank of Oklahoma
– Bank Of Stockton
– Bank of Texas, N.A
– Bank of The West
– Bankedco & Co
– Banktrust
– Bar Harbor Trust Services
– Barclays
– Barclays Capital Inc
– BB&T Capital Markets
– BB&T Securities LLC
– BBVA Compass
– BBVA Compass Investment Solutions
– Beacon Trust Company
– Becu Trust Co
– Benefit Trust Company
– Benjamin F. Edwards & Co.
– Bergen Capital
– Berkshire Bank
– Bernard Herolo & Co., Inc.
– Bernardi Securities Inc
– Bessemer Trust
– Betterment Securities
– Bison Financial Group
– BMO Harris Financial Advisors
– BNP Paribas
– BNY Mellon Wealth Management
– BNY Mellon, N.A.
– Borel Private Bank and Trust Co.
– BOSS, INC. One Williams Center Plaza SE
– Boston Private Bank & Trust Co.
– Boston Trust & Inv. Mgmt Co.
– Branch Banking & Trust Co
– Bristol County Savings Bank
– Broker Dealer Financial Services Corp
– Brokersxpress
– Brotherhood Bank & Trust
– Brown Advisory
– Brown Brothers Harriman
– Brown, Lisle/Cummings, Inc
– Burnham Securities
– Busey Trust Company
– C.L. King & Associates, Inc.
– Cadaret Grant
– Cadence Trust & Financial MGT
– Cambridge Appleton Trust
– Cambridge Investment Research
– Cambridge Trust Company
– Canandaigua National Bank
– Cape Ann Savings Bank
– Cape Cod Five Cents Savings Bank
– Capital Bank & Trust
– Capital Guardian Trust Company
– Capital One Investing
– Capital One Share Builder
– Capital One, N.A
– Captrust Financial Advisors
– Carlyle GMS Finance, Inc.
– Cary Street Partners
– Centennial Securities Company Inc.
– Central Pacific Bank
– Central Trust & Investment Co
– Century Securities
– Cetera Advisors LLC
– Cetera Investment Services LLC
– Charles Schwab & Co., Inc
– Charter One Investment Services
– Charter Trust Company
– Chase Investment Services Corp
– Chesapeake Trust Company
– Chevy Chase Trust Company
– Citi Personal Wealth Management
– Citibank Cash Management
– Citibank, N.A.
– Citicorp Trust, Na
– Citigroup Global Mkts Inc.
– Citizens Bank
– Citizens Business Bank
– Citizens Investment Services
– City National Bank
– City National Securities, Inc.
– City Securities Corporation
– Civista Bank
– Clearview Correspondent Services LLC
– CNB Bank
– Coastline Trust Company
– Coconut Grove Bank
– Colorado State Bank & Trust, N.A.
– Columbia Trust Company
– Comerica Bank
– Comerica Securities, Inc.
– Commerce Bank
– Commerce Brokerage Services, Inc.
– Commonwealth Financial Network
– Community Bank & Trust
– Community Financial Services Group, LLC
– Community Trust & Investment Company
– Compass Bank
– Constellation Trust Company
– Cor Clearing
– Coral Gables Trust Company
– Countybank Trust Services
– Country Club Bank
– Country Club Trust Co.
– Country Trust Bank
– Credit Suisse
– Crews & Associates Inc.
– Crowell, Weedon & Co.
– Curian Capital
– Curian Clearing, LLC
– Cypress Trust Company
– D.A. Davidson & Co.
– Davenport & Company LLC
– David A. Noyes & Company
– David Lerner Associates
– Davidson Trust Company
– Day Pitney LLP
– Deutsche Bank
– Deutsche Bank Securities Inc
– Diversified Trust Company
– Dorsey & Whitney Trust Company LLC
– Draper & Company
– DST Market Services, LLC
– Duncan-Williams, Inc
– E*Trade Clearing LLC
– E.K.Riley Investments, LLC
– Eagle Family Of Funds
– Eastern Bank
– Edward Jones
– Encore Bank, National Association
– Enterprise Bank And Trust Company
– Enterprise Trust & Investment
– Euro Pacific Capital, Inc.
– Evercore Trust Company N.A.
– Evercore Wealth Management, LLC
– Everence Trust Company
– Evolve Bank And Trust
– Exeter Trust Company
– Farmers And Merchants Trust Company
– Farmers Trust Company
– Ferris Baker Watts, Inc
– Fidelity Brokerage Services LLC
– Fidelity Distributors Corp.
– Fiduciary Trust Company Intl
– Fifth Third Bank
– Fifth Third Securities, Inc.
– Financial west group
– Finemark National Bank And Trust
– First Allied
– First American Bank
– First American Trust, FSB
– First Business Trust Investments
– First Citizens Bank
– First Clearing LLC
– First Commonwealth Bank
– First Financial Bank N.A.
– First Financial Trust, N.A
– First Hawaiian Bank – Trust Division
– First Heartland Capital, Inc.
– First Interstate Bank
– First Management Co.
– First Manhattan Co.
– First Merchants Bank, NA
– First Merchants Trust Company
– First Midwest Securities Inc.
– First National Bank & Trust
– First National Bank Of Omaha
– First National Capital Markets
– First National Trust Co.
– First Nebraska Trust Company
– First Niagara Bank
– First Partners Bank
– First Republic Bank
– First Republic Securities Company, LLC
– First Southwest Company
– First Tennessee Bank
– First Trust Corp- Fiserv Trust Co.
– First United Bank & Trust
– First Western Trust Bank
– Firstmerit Bank, N.A.
– Firstrade Securities, Inc.
– Fiserv Securities, INC.
– FMS Bond
– Foliofn Investments
– Franklin Street Trust Company
– Frost Bank Trustee
– Frost Brokerage Services Inc
– FSC Securities Corporation
– FTB Advisors, Inc.
– FTP Services LLC
– Fulton Bank, NA
– G.A. Repple & Company
– Genesee Valley Trust Co
– Genworth Financial Trust Company
– George K. Baum & Company
– German American Bancorp
– Gibraltar Private Bank & Trust
– Girard
– Glens Falls National Bank & Trust
– Golden Beneficial Securities
– Goldman, Sachs & Co.
– Goulstorrs And Co.
– Grand Bank & Trust of Florida
– GreenLeaf Trust
– Guardian Trust Company
– GW & WADE Asset Management Co.
– H M Payson & Co.
– H&R Block Financial Advisors
– H.G. Wellington & Co. Inc.
– Haldor & Co
– Hancock Bank of Louisiana
– Hancock Investment Services, Inc.
– Happy State Bank
– BMO Harris Bank N.A.
– Hawthorn
– HD Vest Financial Services
– Hefren Tillotson, Inc.
– Hennion & Walsh
– Heritage Trust Company
– Hilliard Lyons
– Hilltop Holdings Inc
– Home Federal Bank Of Tennessee
– Horizon Trust & Investment Management
– Houston Trust Company
– HSBC Bank
– HSBC Securities (USA) Inc.
– Huddleston Smith Wealth Management
– Huntington National Bank
– Huntleigh Securities
– Iberia Bank
– Iberia Financial Services LLC
– Idaho Trust Bank
– Independence Trust Company
– Indiana Trust & Investment Management Co.
– Infinex Financial Group
– ING Direct
– ING Financial Partners
– Ingalls and Snyder LLC
– Institutional Brokerage & Sales
– Integra Bank
– Interactive Brokers LLC
– Intrust Bank, N.A.
– Invest Finanacial Corporation
– Investcorp, Inc
– Investment Professionals Inc
– Investment Trust Company
– Investors Capital Corporation Member finra Sipo
– Investors’ Security Trust Co
– J.J.B. Hilliard, W.L. Lyons, Inc.
– J.P. Morgan Clearing Corp
– J.P. Morgan Securities LLC
– Janney Montgomery Scott, LLC
– Jefferies & Company, Inc
– Johnson Bank
– Johnston, Lemon & Co.
– JPMorgan Chase Bank
– JPMorgan Chase Bank, N.A.
– Kanaly Trust Company
– Keefe, Bruyette & Woods
– Key Investments Services LLC
– Key Private Bank
– Keybank National Association
– KMS Financial Services, Inc.
– Komtz Securities LLC
– Kovack Securities
– Laird Norton Tyee Trust Co.
– Laird Norton Trust Co.
– Lake City Bank
– Lantern Investment, Inc.
– Lazard Capital Markets LLC
– LCS Securities, LLC
– Ledyard National Bank
– Legacy Private Trust Company
– Legacy Trust Company, N.A.
– Legent Clearing, LLC
– Lending Club Corporation
– Lesko Securities, Inc.
– Lincoln Financial Advisors Corp
– Lincoln Investment
– Loring Wolcott & Coolidge
– LPL Financial
– M Holidings Securities, Inc.
– M&I Capital Markets
– M&T Investment Group
– M&T Securities, Inc.
– Macatawa Bank
– Management One Investment
– Manufacturers
– Manufacturers And Traders Trust
– Marine Bank
– Marquette Asset Management
– Marshall & Ilsley Trust Co, N.A
– Matrix Capital Group Inc.
– Massmutual Trust Company, FSB
– Maxim Group
– MB Financial Bank, N.A.
– Mcadams Wright Ragen, Inc.
– Mcclurg Capital Corporation
– McDonald Partners
– McMillion Securities, Inc.
– Mcnb Bank And Trust Co.
– MDM Investment Group
– Mellon Trust of NY
– Merchants Commercial Bank
– Merchants National Bank
– Merrill Lynch
– Merrill Lynch Wealth Management
– Mesirow Financial
– Metlife Securities
– MF Global Inc
– Midfirst Bank
– Midfirst Trust Company
– Midwest Trust Company
– Mitchell Sinkler & Starr
– ML Stern & Co., LLC
– MML Investors Services, LLC
– Monroe Bank & Trust
– Moors & Cabot Investments
– Morgan Keegan & Company, Inc
– Morgan Stanley & Co. Incorporated
– MUFG Union Bank
– Muriel Siebert & Co., Inc.
– Mutual of Omaha Bank
– Mutual Securities Inc
– Nation Financial Group
– National Advisors Trust Company
– National City Bank
– National Financial Services LLC
– National Securities Corporation
– Natl. Investor Services Corp
– Navy Federal Brokerage Services
– Neuberger Berman, LLC
– New England Securities
– New York Private Bank & Trust
– NFP Advisor Services, LLC
– North Star Bank
– North Star Trust Company
– North Western Mutual Wealth Management Co.
– Northeast Investment Management
– Northern Trust Securities, Inc.
– Northern Trust, NA
– Northland Securities
– Northwestern Mutual
– Northwestern Mutual Investment Services, LLC
– Nutter Mcclennen & Fish
– NYlife Securities LLC
– Oberweis Securities, Inc.
– Ohanesian/Lecours Investment & Advisory Services
– Old National Trust Company
– Old National Wealth Management
– Old North State Trust
– Old Second National Bank Of Aurora
– One & Co.
– Oneamerica Securities, Inc.
– Oppenheimer
– OptionsXpress, Inc
– Pacific Capital Bank. N.A.
– Painter, Smith and Gorian, INC
– Park Avenue Securities
– Park National Bank
– Park Sterling Bank
– Peak Trust Company
– Peapack – Gladstone Bank Trust and Investments
– Penson Financial Services
– Penson Financial Services Inc.
– Peoples Bank National Association
– People’s Securities Inc
– Peoples United Bank
– Pershing LLC
– Petrologistics
– Pflueger & Baerwald Inc.
– Philadelphia Trust Company
– Pinnacle Trust Company
– Piper Jaffray and Co.
– Piscataqua Savings Bank
– Pitcairn Trust Company
– Planmember Securities Corporation
– PNC Bank
– PNC Investments
– PNC Investments, LLC
– Protected Investors of America
– Provident Trust Company
– Pruco Securities, LLC
– Prudential
– Putnam Investments
– Quest Capital Strategies
– Quest R Capital
– R.F.Lafferty & Co., INC.
– Raymond James & Associates, Inc.
– RBC Dain Rauscher
– RBC Trust Company
– RBS Citizens, N.A
– Regions Bank
– Reliance Trust Company
– Reliance Trust Company Of Delaware
– Research Securities
– Resource Bank
– Resources Trust – Fiserv Trust
– RG Capital Investment Advisory Services
– RGO Securities LLC
– Richards Merrill & Perterson
– Ridge Clearing & Outsourcing
– Rim Securities
– Robert W. Baird & Co.
– Rockland Trust Company
– Royal Alliance
– Ruane, Cunniff & Goldfarb LLC
– Sabal Trust Company
– SagePoint Financial, Inc.
– Salient Trust Co., LTA
– Sanders Morris Harris
– Sandy Spring Bank
– Sanford Bernstein
– Sanibel Captiva Trust Company
– Scaup & Co.
– Scott & Stringfellow Inc.
– Scottrade, Inc
– Seacoast National Bank
– Seaside National Bank
– Securities America, Inc.
– Securities Service Network, Inc.
– Security National Trust Co
– SEI Private Trust Company
– Sharebuilder Securities Corporation
– Sigma Financial Corporation
– Sigmator Investors, Inc.
– Signator Financial Services
– Simmons Bank – Trust Division
– Smithfield Trust Company
– Southwest Securities
– Spinnaker Trust
– State Farm Mutual Funds
– State Street Bank & Trust Company
– Stellarone Bank
– Stephens Inc
– Stern Fisher Edwards Inc
– Sterne Agee & Leach Inc.
– Stifel Nicolaus
– Stock Yards Bank & Trust
– Stockcross Financial Services
– Strategic Point Securities
– Summit Equities, Inc.
– Sunflower Bank
– Suntrust Bank
– Suntrust Investment Services Inc
– Superior National Bank & Trust Company
– Susquehanna Trust & Investment Company
– Sweney Cartwright & Co.
– Sycoban & Company
– Synovus Trust Company, N.A.
– T. Rowe Price Brokerage
– TD Ameritrade
– TD Bank, NA
– The Bank of New York Mellon
– The Bryn Mawr Trust Company
– The Canandaigua National Bank & Trust
– The Commerce Trust Company
– The First Company – Centier Bank
– The George Washington University
– The Glenmede Trust Company, N.A
– The Glenview Trust Company
– The Haverford Trust Company
– The Huntington Investment Co.
– The Mechanics Bank
– The National Bank Of Indianapolis
– The Northern Trust Company
– The O N Equity Sales Company
– The Pennsylvania Trust Company
– The Private Bank And Trust Company
– The Security National Bank Of Sioux City
– The Trust Company Of Knoxville
– The Trust Company Of Oxford
– The Trust Company Of Vermont
– The Vanguard Group
– Thomasville National Bank
– Thompson & Company
– Thrivent Investment Management
– Thrivent Trust Company
– TIAA-CREF Brokerage Services
– TIAA-CREF Trust Company
– Tiedemann Trust company
– Tompkins Trust Company
– Trade King
– Trade PMR
– Tradestation Securities, Inc.
– Trust Company of America
– Trust Company Of Illinois
– Trustmark National Bank
– Trust Point INC
– Truxton Trust Company
– U.S. Bank
– U.S. Bank National Association
– U.S. Securities, Intl. Corp.
– U.S. Trust
– Ubatco & Co
– UBS Financial Services
– UBS Swiss Financial
– UMB Financial Services, Inc.
– Umbtru & Co.
– Umpqua Investments Inc.
– Unatco
– Union Bank, N.A
– Unionbanc Investment Services
– United Bank & Trust
– University Of Pittsburgh
– USAA Federal Savings Bank
– USAA Investment Management Company
– USBancorp Investments, Inc.
– USCA Securities Llc
– Valic Financial Advisors, Inc.
– Vanguard Market Corporation
– Vanguard National Trust Company
– Virginia National Bank
– VSR Financial Services Inc.
– Wachovia Trust
– Wachovia Trust – NSG TAX
– WADDELL & RED Financial Advisor
– Walnut Street Securities
– Washington Trust Bank
– Washington Trust Company
– Water Front Wealth
– Waukesha State Bank
– Wayne Hummer Investments
– Webster Bank, N.A.
– WedBus
– Wedbush Morgan Securities
– Welch & Forbes
– Wells Fargo Advisor
– Wells Fargo Bank, N.A
– Wesbanco Bank Inc.
– Westwood Trust
– WHITAX
– Whitney National Bank
– Whittier Trust company
– William Blair & Co. LLC
– Williamson Financial Group wealth & Insurance
– Wilmington Trust Company
– Woodbury Financial Services, Inc.
– Wulff, Hansen & Co.
– Wunderlich Securities

• Grantor Letters with the same format
– Atlantic Trust Company
– Bangor Savings Bank
– Bank of America, N.A.
– Barhemco
– Boston Trust & Inv. Mgmt Co.
– Brown Investment Advisory
– Capital Guardian Trust Company
– Chembaco
– Chittenden Bank
– Citibank, N.A.
– Citigroup Private Bank
– Comerica Bank
– Deutsche Bank Trust Co. America
– Fidelity Investments
– Fiduciary Trust Company
– Frost National Bank
– Grand Bank And Trust Of FL
– Harris Bank Na
– Hilliard Lyons Asset Management
– JPMorgan Chase Bank
– Keybank National Association
– Lasalle Bank N.A.
– Maine Bank & Trust
– Marshall & Ilsley Trust Company N.A.
– Merrill Merchants Bank
– National City Bank
– Northern Trust, N.A.
– PNC Bank, N.A.
– RBS Citizens, N.A.
– Regions Bank Trust Dept.
– Ropes & Gray Llp Fiduciary Account
– SEI Private Trust Company
– State Street Bank & Trust Company
– Suntrust Bank
– The Glenmede Trust Company, N.A
– The Haverford Trust Company
– The Northern Trust Company
– The Trust Company Of Oklahoma
– U.S. Bank National Association
– Wachovia Bank, N.A.
– Wells Fargo Bank, N.A.
– Whitax

* Some issuers on the above list generate brokerage statements in numerous formats, not all of which are recognized by SurePrep.

• Government forms – Output forms:
The following output forms can be sent for referencing

Current year forms:
– Schedule H: Household Employment Taxes
– Form 8283 Non Cash Contribution

Prior year forms:
– Form 1040 page 1
– Form 1040 page 2
– Schedule A
– 1040EZ

• Other forms

– Cash Contributions Letters: Cash Contribution letters and receipts in letter format will be considered. Information provided in email /check format will not be considered.
– DMV receipts (License fees – CA state only)

What are the system requirements?

Compatible Operating Systems:

  • Windows 7 Professional (Service Pack 1) or higher (32-bit & 64-bit)
  • Windows 8
  • Windows 10

Compatible Network Services:

  • Windows Server 2008 (includes Small Business Server)
  • Citrix Server (on Windows Server 2008)

Required MS .Net Framework:

  • Version 4.5.2 or higher

Compatible Tax Software Applications:

  • Axcess Tax (CCH)
  • Global fx Tax (CCH)
  • GoSystem Tax RS (Thomson Reuters)
  • ProSystem fx Tax (CCH)
  • Lacerte (Intuit)
  • UltraTax (Thomson Reuters)

Compatible Software:

  • Adobe Reader 7.0 or higher or Adobe Acrobat 7.0 or higher or similar PDF software
  • Word and Excel 2007
  • Word and Excel 2016

Internet Speed:

  • High-speed, such as T-1, DSL, or Cable/Broadband

Minimum Processor:

  • 2.0 Ghz

Minimum Memory (RAM):

  • 8 GB RAM

Monitor:

  • 19? with screen resolution of 1024 x 768 or higher, (dual Monitors are recommended).
  • System time should match the standard time zone.

Security

Hosted Web Servers

The SurePrep web servers are hosted by IBM at two of their data centers in Dallas and managed by SurePrep staff. Our servers and firewalls are monitored on a 24/7 basis. Performance reports are generated to assure maximum operational availability. Citrix NetScalar load balancing is in place to achieve the best possible system performance. Through monthly patch management, we are constantly updating our security software to protect against unauthorized access to our network systems. Daily back-ups are performed and stored off-site.

Facility Security

  • Access limited to IBM IT staff only
  • Proximity security badge access
  • Individual card key access
  • Digital security video surveillance

Environmental Controls

  • Static free environment
  • 24 X 7 NOC personnel presence
  • Redundant Liebert 30-ton HVAC units
  • Pre-Action dry pipe fire suppression

Network Operations Center

  • Permissively neutral network
  • Multi-homed connectivity with redundant 10 Gbit/s Tier 1 carriers (over 80 Gbit/s bandwidth)

Building Power

  • Continuous, uninterrupted operation
  • N + 1 paralleled generator and UPS power systems

Certifications

  • IBM data centers are SAS-70 Type II and SSAE 16 certified.

SurePrep Tax Center

The SurePrep Tax Center is a Microsoft SQL based ASP application.  Password protected logins restrict access to registered users.  User passwords are encrypted in the SQL database and a log is maintained of all users that access the system.  The SurePrep Tax Center uses 2048-bit Secure Socket Layer encryption for all data transfers.  This is the same encryption technology used by banks for securing online banking transactions.

Non-disclosure / Confidentiality Agreements

All SurePrep employees in the U.S. and India are required to sign non-disclosure/confidentiality agreements.  Each employee is bound by the agreement and not allowed to discuss information from engagements they are working on with anyone unless there is a question related to the preparation of the engagement.  Preparers and reviewers are only allowed to request help from their direct supervisors.

Service Centers

SurePrep has implemented a comprehensive service center security policy that is designed to ensure the protection of data. Security measures include policies that:

  1. Restrict physical access to the processing and server environments.
  2. Ensure a paperless environment so data cannot be removed from the facility.
  3. Standard computer hardware and software configurations restrict access to email and Internet sites.
  4. Thin clients are used with centrally managed servers. No data ever resides on the diskless thin client, and provide only keyboard, video and mouse input.
  5. PC-based workstations do not have CD or floppy drives and USB ports are disabled.

Certifications

  • SurePrep is ISO 9001:2008 Certified.

Physical Security

  • A security guard is stationed at the entrance.
  • Access card required to enter the facility.
  • Access card required to enter the server room.  Access is restricted to the IT and service center manager.

Paperless Environment

  • Returns are prepared in a paperless environment.  No source documents or tax returns are printed
  • The printer in the server room is limited to printing management reports
  • Paper shredders are used by management to shred management reports

Personal Belongings

  • Briefcases and other personal belongings are not allowed in the service center

Hardware

  • There are no removable media devices.  PC hard drives are read only.

Internet Access

  • No access to email
  • Outlook and Outlook Express have been removed from all PC’s
  • No access to internet except for:
    • SurePrep site for return processing
    • Global fx site for return processing
    • GoSystem RS site for return processing
    • RIA Checkpoint access is allowed for supervisors only

Software Configuration for PC-based Workstations

  • Windows XP or 7
  • MS Word and Excel
  • Acrobat Reader or Bluebeam
  • McAfee antivirus
  • WinZip, WinRAR or PeaZip
  • SurePrep processing software
  • Tax processing software

Do I need training?

Yes. Although all of our solutions are intuitive and easy to use, training will ensure that you maximize the benefits of the system. We provide a wide range of training options to assist you. Please visit our training and consulting page for more details.

How is SPbinder different from Adobe Acrobat?

Many tasks that accountants need to perform like bookmarking and organizing workpapers, signing off workpapers, merging subsequent documents like a late K-1, communicating between staff members and incorporating file types such as Microsoft Word and Excel are time consuming and difficult to do in Adobe Acrobat, if you can perform them in Acrobat at all. SPbinder performs these and many other accounting related tasks with ease.

What kind of engagement types are appropriate for SPbinder?

SPbinder can be used on any engagement type. The organizational structure of 1040 and 1041 returns are set up automatically and custom engagement types can be created for business entity returns, compilations, reviews, audits or any other type. Binder templates can then be used to minimize set up time and to promote standardization.

How does SurePrep safeguard the security of my clients’ data?

Client tax information is electronically shared on secure SurePrep servers utilizing the latest data encryption technology. SurePrep servers are located in redundant SSAE 16 certified Internet Data Centers located in the continental US. All information is maintained online and a log entry is automatically generated each time it is accessed. In addition, SurePrep accountants are bound by comprehensive non-disclosure agreements that require complete confidentiality. For additional information please view the FAQ titled “Security“.

Outsource FAQs

Security

Hosted Web Servers

The SurePrep web servers are hosted by IBM at two of their data centers in Dallas and managed by SurePrep staff. Our servers and firewalls are monitored on a 24/7 basis. Performance reports are generated to assure maximum operational availability. Citrix NetScalar load balancing is in place to achieve the best possible system performance. Through monthly patch management, we are constantly updating our security software to protect against unauthorized access to our network systems. Daily back-ups are performed and stored off-site.

Facility Security

  • Access limited to IBM IT staff only
  • Proximity security badge access
  • Individual card key access
  • Digital security video surveillance

Environmental Controls

  • Static free environment
  • 24 X 7 NOC personnel presence
  • Redundant Liebert 30-ton HVAC units
  • Pre-Action dry pipe fire suppression

Network Operations Center

  • Permissively neutral network
  • Multi-homed connectivity with redundant 10 Gbit/s Tier 1 carriers (over 80 Gbit/s bandwidth)

Building Power

  • Continuous, uninterrupted operation
  • N + 1 paralleled generator and UPS power systems

Certifications

  • IBM data centers are SAS-70 Type II and SSAE 16 certified.

SurePrep Tax Center

The SurePrep Tax Center is a Microsoft SQL based ASP application.  Password protected logins restrict access to registered users.  User passwords are encrypted in the SQL database and a log is maintained of all users that access the system.  The SurePrep Tax Center uses 2048-bit Secure Socket Layer encryption for all data transfers.  This is the same encryption technology used by banks for securing online banking transactions.

Non-disclosure / Confidentiality Agreements

All SurePrep employees in the U.S. and India are required to sign non-disclosure/confidentiality agreements.  Each employee is bound by the agreement and not allowed to discuss information from engagements they are working on with anyone unless there is a question related to the preparation of the engagement.  Preparers and reviewers are only allowed to request help from their direct supervisors.

Service Centers

SurePrep has implemented a comprehensive service center security policy that is designed to ensure the protection of data. Security measures include policies that:

  1. Restrict physical access to the processing and server environments.
  2. Ensure a paperless environment so data cannot be removed from the facility.
  3. Standard computer hardware and software configurations restrict access to email and Internet sites.
  4. Thin clients are used with centrally managed servers. No data ever resides on the diskless thin client, and provide only keyboard, video and mouse input.
  5. PC-based workstations do not have CD or floppy drives and USB ports are disabled.

Certifications

  • SurePrep is ISO 9001:2008 Certified.

Physical Security

  • A security guard is stationed at the entrance.
  • Access card required to enter the facility.
  • Access card required to enter the server room.  Access is restricted to the IT and service center manager.

Paperless Environment

  • Returns are prepared in a paperless environment.  No source documents or tax returns are printed
  • The printer in the server room is limited to printing management reports
  • Paper shredders are used by management to shred management reports

Personal Belongings

  • Briefcases and other personal belongings are not allowed in the service center

Hardware

  • There are no removable media devices.  PC hard drives are read only.

Internet Access

  • No access to email
  • Outlook and Outlook Express have been removed from all PC’s
  • No access to internet except for:
    • SurePrep site for return processing
    • Global fx site for return processing
    • GoSystem RS site for return processing
    • RIA Checkpoint access is allowed for supervisors only

Software Configuration for PC-based Workstations

  • Windows XP or 7
  • MS Word and Excel
  • Acrobat Reader or Bluebeam
  • McAfee antivirus
  • WinZip, WinRAR or PeaZip
  • SurePrep processing software
  • Tax processing software

How do I communicate with SurePrep’s staff?

SurePrep has developed an Internet based document management tool that you will use to store your clients’ source documents electronically. This easy to use tool also allows you to enter notes and comments about your clients’ tax data that is pertinent to the preparation of the return. The SurePrep staff will inform you of any important information about the return using the same tool.

Why does SurePrep offer an offshore outsourcing option?

It is well known that many countries have highly educated English-speaking workforces. Several large accounting firms such as Ernst & Young have already recognized this fact and are processing their US clients’ tax returns offshore to lower costs and improve client service. SurePrep continually strives to provide the highest quality and most cost effective service possible. These business practices allow us to deliver more efficient and cost effective services to you. If our offshore option is not right for you please consider our onshore option.

Do I have control over my clients’ files?

Yes, you are always in control. Your firm maintains the original hard copy of your clients’ records plus you can access the electronic files anywhere you have an internet connection to see the status of each return. Once the return is complete, it is securely transmitted to you in a file format compatible with your tax software. If necessary, the return can easily be modified online by your staff or your SurePrep team.

What are the advantages of outsourcing tax preparation with SurePrep?

SurePrep offers numerous advantages including increased availability of qualified personnel, faster turnaround time, secure online access, and higher customer satisfaction. But the most important advantage is cost. By outsourcing the preparation of tax returns to SurePrep you can save up to 50 percent over what it is costing you now. At the same time, you can reduce, or even eliminate, your need to increase staff during peak tax season. In addition, by capturing and storing all your clients’ tax information in electronic format, you will be able to take advantage of the latest technology to improve workflow, speed your tax preparation process, and take your firm paperless.

How does SurePrep safeguard the security of my clients’ data?

Client tax information is electronically shared on secure SurePrep servers utilizing the latest data encryption technology. SurePrep servers are located in redundant SSAE 16 certified Internet Data Centers located in the continental US. All information is maintained online and a log entry is automatically generated each time it is accessed. In addition, SurePrep accountants are bound by comprehensive non-disclosure agreements that require complete confidentiality. For additional information please view the FAQ titled “Security“.