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Accounts

All requests require clientID and developerAPIKey parameters for authentication.

Base URL: https://api-sandboxdash.norcapsecurities.com

Enumerated values are not validated

Value lists on this page (account types, entity types, statuses, education levels, and similar) are expected values by convention. The API does not enforce them — submitted values are stored and returned verbatim, including casing.

Endpoints

GET /v3/accounts

Fetch a list of account resources associated with this client. Accounts are ordered by created date with the most recently created account at index zero.

Permissions

This method requires the scope account.read.pii_high to be granted to the calling API key.

This scope can be assigned by system admins through the API or Transact Portal. A PII high scope is required because responses contain sensitive information like names, addresses, tax identification numbers, and information about investor eligibility.

Authorization

Header: Authorization: Bearer clientId:apiKey

Query Parameters

Parameter Type Default Description
offset integer 0 The row index at which to begin the query. Zero represents the first account in the list.
limit integer 10 The maximum number of accounts to return. Max value is 500.
deleted boolean false Include deleted accounts in response.
filter string (JSON) Filter results by specific fields.
sort string createdDate:DESC Sort results, formatted as field:direction (e.g. createdDate:ASC). Direction is ASC unless DESC is specified. Unknown fields fall back to the default sort.

Filtering

Filters limit the values included in responses to those defined. Filters only support full equality. Expressions and inequalities are not supported at this time. All filters are ANDed together, meaning a record must match all filters to be included in the response.

/v3/accounts?filter={"type":"Individual", "state":"AL"}
/v3/accounts?filter[type]=Individual&filter[state]=AL

This also allows for filtering lists. Lists are inclusive in a this-or-that relationship, meaning records that match any value in the list will be included in the result.

/v3/accounts?filter={"state": ["AL", "WY"], "type": "Individual"}
/v3/accounts?filter[state]=AL&filter[state]=WY&filter[type]=Individual

For more information on filtering see Working with List Endpoints.

Response Fields

The response envelope contains the accounts array and a pagination object.

Field Type Description
statusCode string 101 on success.
statusDesc string Human-readable status description.
accounts object[] Array of account resources (see fields below).
pagination object Pagination metadata (see below).

Each object in the accounts array contains:

Field Type Description
accountId string Account ID generated by the API (format A followed by 6-10 digits).
accountName string Investor account registration name.
type string Type of account: Individual, Entity, TIC, JTWROS, IRA, SepIRA, ROTH, Joint.
entityType string Type of entity (entity accounts only): Revocable Trust, Irrevocable Trust, Limited Partnership, LLC, Corporation.
residentType string domestic_account or international_account.
socialSecurityNumber string Social Security Number as stored on the account. This field cannot be set through createAccount/updateAccount, so it is empty for API-created accounts. When populated, the value is returned as stored (it is not decrypted).
address1 string Account street address line 1.
address2 string Account street address line 2.
city string Account city.
state string Two-letter state abbreviation, or NOUS for non-US addresses.
zip string Account zip/postal code.
country string Account country.
phone string Account primary phone number.
taxID string Account tax ID number.
kycStatus string Know Your Customer (KYC) status: Pending, Auto Approved, Manually Approved, Disapproved.
kycDate date Date the KYC status was last set.
amlStatus string Anti-Money Laundering (AML) status: Pending, Auto Approved, Manually Approved, Disapproved.
amlDate date Date the AML status was last set.
suitabilityScore string Suitability score from 1 (least suitable) to 5 (most suitable).
suitabilityDate date Date the suitability was approved.
suitabilityApprover string Name of the Registered Representative (RR) who approved suitability.
accreditedStatus string Accreditation status: Pending, Self Accredited, Verified Accredited, Not Accredited.
accreditedInvestor string How the account was accredited (e.g. Income, Assets, All parties accredited, Pending). Stored as a free-form string, not a boolean.
accreditedInvestorDate date Date the most recent accreditation review expires.
506cLimit string Maximum total amount investable in Regulation D 506(c) offerings by this account. Returned as a string.
accountTotalLimit string Maximum total amount investable from this account. Returned as a string.
singleInvestmentLimit string Maximum amount investable in a single investment. Returned as a string.
associatedAC string Yes or No.
syndicate string For API-created or API-updated accounts this is the literal string syndicate when the field is enabled for the API key, or empty otherwise (see createAccount). Accounts managed through the Admin interface may hold other values.
tags string Comma-separated account tags.
notes string Free-form notes added to the account.
approvalStatus string Principal approval status: Pending, Approved, Not Approved.
approvalPrincipal string Name of the principal reviewing the account.
approvalLastReview date Date of the previous accreditation review.
accountstatus string Archive state of the account, derived from archived_status: Active (0) or Archived (1).
field1 string Custom field 1.
field2 string Custom field 2.
field3 string Custom field 3.
createdDate datetime Timestamp the account was created.
updatedDate datetime Timestamp the account was last updated.

The pagination object contains:

Field Type Description
totalRecords integer Total number of accounts matching the query (across all pages).
startIndex integer Zero-based index of the first record in this page.
endIndex integer Zero-based index of the last record in this page.

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accounts": [
    {
      "accountId": "A2652697",
      "accountName": "John Doe",
      "type": "Individual",
      "entityType": "",
      "residentType": "domestic_account",
      "socialSecurityNumber": "",
      "address1": "First street",
      "address2": "",
      "city": "ATLANTA",
      "state": "GA",
      "zip": "32526",
      "country": "USA",
      "phone": "4152323232",
      "taxID": "123456789",
      "kycStatus": "Pending",
      "kycDate": "2024-02-23",
      "amlStatus": "Pending",
      "amlDate": "2024-02-23",
      "suitabilityScore": "5",
      "suitabilityDate": "2024-02-23",
      "suitabilityApprover": "Smith",
      "accreditedStatus": "Pending",
      "accreditedInvestor": "Income",
      "accreditedInvestorDate": "2024-02-23",
      "506cLimit": "50000",
      "accountTotalLimit": "1000000",
      "singleInvestmentLimit": "1000",
      "associatedAC": "No",
      "syndicate": "No",
      "tags": "real estate",
      "notes": "Personal Account",
      "approvalStatus": "Approved",
      "approvalPrincipal": "Charles",
      "approvalLastReview": "2024-02-15",
      "accountstatus": "Active",
      "field1": "",
      "field2": "",
      "field3": "",
      "createdDate": "2024-02-23 13:29:30",
      "updatedDate": "2024-02-23 13:29:30"
    }
  ],
  "pagination": {
    "totalRecords": 1,
    "startIndex": 0,
    "endIndex": 0
  }
}

POST /v3/addAccountNote

Adds a note to a specific account. The note is stored against the account and is returned in the response.

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an account is created (createAccount)
authorName string Yes Author Name
notes string Yes Notes

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/addAccountNote
-d clientID=someclientid
-d developerAPIKey=somedeveloperkey
-d authorName=authorName
-d notes=notes
-d accountId=123456

Response

Field Type Description
notesDetails array Two-element array. Index 0 is the insert result flag (true on success). Index 1 is an array containing the newly created note.

Each note object in notesDetails[1] contains:

Field Type Description
authorname string Author name supplied in the request.
note string The note text.
createdDate datetime Timestamp the note was created.

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "notesDetails": [
    true,
    [
      {
        "authorname": "authorName",
        "note": "notes",
        "createdDate": "2024-02-23 13:29:30"
      }
    ]
  ]
}

PUT /v3/calculateSuitability

This method is used to add investment suitability information to an account (createAccount).

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an account is created (createAccount)
riskProfile conditional No Risk Profile Score, expected 1-5 (1=very conservative; 5=very aggressive). Only the numeric format is validated; the 1-5 range is not enforced
investmentExperience conditional No Investment Experience Score, expected 1-5 (1=none; 5=extensive). Only the numeric format is validated; the 1-5 range is not enforced
privOffExperience conditional No Experience Investing in Private Offerings Score, expected 1-5 (1=none; 5=extensive). Only the numeric format is validated; the 1-5 range is not enforced
pctPrivSecurities integer No Percentage of the Investor's Investment Portfolio that is invested in Private Placements
pctIlliquidSecurities integer No Percentage of the Investor's Investment Portfolio that is invested in Illiquid Securities
pctLiquidSecurities integer No Percentage of the Investor's Investment Portfolio that is invested in Liquid Securities
pctRealEstate integer No Percentage of the Investor's Investment Portfolio that is invested in Real Estate
timeHorizon conditional No The number of years until the investment portfolio is expected to reach maturity. Only the numeric format is validated
education conditional No Investor's Highest level of education: High School or GED, 4 Year College or University, Graduate Degree, Other
financialAdvisor string No Does the Investor have a financial advisor? Yes or No
notes string No Free form text for any notes that need to be added for the suitability
investmentObjective string No Primarily on Capital Preservation, Both Capital Preservation and Growth, Primarily Focused on growth
additionalnotes string No Free form text for any notes that need to be added for the suitability

Example Request

curl -k -X PUT https://api-sandboxdash.norcapsecurities.com/v3/calculateSuitability
-d clientID=someclientid
-d developerAPIKey=somedeveloperkey
-d accountId=A43256
-d riskProfile=1
-d investmentExperience=1
-d investmentObjective=Both Capital Preservation and Growth
-d privOffExperience=1
-d pctPrivSecurities=5
-d pctIlliquidSecurities=4
-d pctLiquidSecurities=4
-d pctRealEstate=6
-d timeHorizon=4
-d education=High School or GED
-d financialAdvisor=yes
-d notes=Suitability for an account
-d additionalnotes=Suitability for an account

Response

Field Type Description
accountDetails object[] Array containing one object with the account the suitability was created for.

Each object in accountDetails contains:

Field Type Description
accountId string Unique Identifier code for the account

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": [
    {
      "accountId": "A43256"
    }
  ]
}

PUT /v3/createAccount

This method is used to create an account that can be linked (createLink) to an individual party (createParty) or an entity (createEntity).

Parameters

Parameter Type Required Description
accountRegistration string Yes Investor Account Name. Must be the exact registration of the account, such as "John Doe and Jane Doe JTWROS" or "John Doe IRA" or "Doe Family Trust"
type conditional Yes Type of Account: Individual, Entity, TIC, JTWROS, IRA, SepIRA, ROTH,Joint
entityType conditional No Type of Entity: Revocable Trust, Irrevocable Trust, Limited Partnership, LLC, Corporation
domesticYN conditional Yes Domestic or International Account - "domestic_account" or "international_account"
streetAddress1 string Yes Account Street Address Line 1
streetAddress2 string No Account Street Address Line 2
city string Yes Account City
state string Yes The state in which the account holders primary residence (or physical address) is located (must use abbreviated 2 letter form). Use the value “NOUS” for addresses outside the United States.
zip string Yes Account Zip/Postal Code
country string Yes Account Country
email string No Account Primary Email Address
phone integer No Account Primary Phone Number
taxID integer No Account Tax ID Number
KYCstatus conditional Yes Know Your Customer(KYC) Status: Pending, Auto Approved, Manually Approved, Disapproved. The default status is "Pending"
AMLstatus conditional Yes Anti-Money Laundering (AML) Status: Pending, Auto Approved, Manually Approved, Disapproved. The default status is "Pending"
AMLdate date No Date that the Anti-Money Laundering (AML) status was updated from the default "Pending" status.
suitabilityScore integer No Score from 1 to 5. 5 being most suitable and 1 being least suitable
suitabilityDate date No Date that a Registered Representative (RR) approved the suitability for the account.
suitabilityApprover string No The name of the Registered Representative (RR) that approved the suitability for the account.
AccreditedStatus conditional Yes The Accreditation Status for the Account: Pending, Self Accredited, Verified Accredited, Not Accredited. The default status is "Pending"
Allow conditional No How the account was accredited: Income, Assets, All parties accredited, Pending
AIdate date No The date that the most recent accreditation review will expire.
506cLimit integer No The maximum total dollar amount that can be invested in Regulation D 506(c) offerings by this account
accountTotalLimit integer No The maximum total amount that can be invested from this account
singleInvestmentLimit integer No The maximum amount that can be invested in a single investment for the account
associatedAC conditional No Yes or No. Generally completed in the Admin interface following a discussion with the Investor
syndicate conditional No The submitted value is ignored. When this field is enabled for the API key, the account's syndicate flag is stored as the literal string syndicate; otherwise it is left empty
tags string No Up to 10 tags can be added to an account separated by commas. These are generally completed in the TAPI Admin interface or with question-based tag generation
notes string No Free form text for any notes that need to be added to the account
approvalStatus conditional Yes Principal Approval Status: Pending, Approved, Not Approved
approvalPrincipal string No Name of Principal Reviewing the Account
approvalLastReview date No Date of previous accreditation review
field1 string No Additional information relating to the account. Custom Field 1
field2 string No Additional information relating to the account. Custom Field 2
field3 string No Additional information relating to the account. Custom Field 3

Required parameters are permission-conditional

A parameter marked Required is only enforced when the corresponding field is enabled in the calling API key's developer permissions. Parameters for fields that are not enabled are ignored and stored empty. state is additionally not required when domesticYN is international_account.

Example Request

curl -k -X PUT https://api-sandboxdash.norcapsecurities.com/v3/createAccount
 -d clientID=someclientid
 -d developerAPIKey=somedeveloperkey
 -d accountRegistration=John
 -d type=Individual
 -d entityType=Revocable Trust
 -d domesticYN=domestic_account
 -d streetAddress1=First street
 -d streetAddress2=Third avenue
 -d city=ATLANTA
 -d state=GA
 -d zip=32526
 -d country=USA
 -d phone=41545218562
 -d taxID=875451545875855
 -d KYCstatus=pending
 -d AMLstatus=pending
 -d suitabilityScore=5
 -d suitabilityDate=02-18-2016
 -d suitabilityApprover=smith
 -d AccreditedStatus=pending
 -d Allow=income
 -d AIdate=02-18-2016
 -d 506cLimit=50000
 -d accountTotalLimit=200000
 -d singleInvestmentLimit=100
 -d associatedAC=yes
 -d syndicate=no
 -d tags=terms
 -d notes=Personal Account
 -d approvalStatus=pending
 -d approvalPrincipal=Charles
 -d approvalLastReview=02-15-2016
 -d field1=some text
 -d field2=some text
 -d field3=some text

Response

Field Type Description
accountDetails string[] See below for details
Field Type Description
accountId string Account ID that is generated by the API once an account is created (createAccount).
kycStatus string Know Your Customer(KYC) Status: Pending, Auto Approved, Manually Approved, Disapproved. The default status is "Pending"
amlStatus string Anti-Money Laundering (AML) Status: Pending, Auto Approved, Manually Approved, Disapproved. The default status is "Pending"
accreditedStatus string The Accreditation Status for the Account: Pending, Self Accredited, Verified Accredited, Not Accredited. The default status is "Pending"
approvalStatus string Principal Approval Status: Pending, Approved, Not Approved

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": [
    {
      "accountId": "A2652697",
      "kycStatus": "Pending",
      "amlStatus": "Pending",
      "accreditedStatus": "Pending",
      "approvalStatus": "Approved"
    }
  ]
}

POST /v3/deleteAccount

This method is used to delete an account that is created for an individual party or entity party.

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API when an account is created(createAccount)

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/deleteAccount
 -d clientID=someclientid
 -d developerAPIKey=somedeveloperkey
 -d accountId=A34554

Response

Field Type Description
accountDetails string Success Message

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": "Account deleted successfully!"
}

POST /v3/deleteAccountDocument

This method is used to delete the account document upload.

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an individual account is created (createAccount)
documentId string Yes Document Id generated in the time of upload account document API method call

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/deleteAccountDocument
-d clientID=someclientid
-d developerAPIKey=somedeveloperkey
-d accountId=A27512
-d documentId=SDrKb

Response

Field Type Description
document\_details string Success message: document deleted successfully

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "document_details": "document deleted successfully"
}

POST /v3/deleteSuitability

This method is used to delete investment suitability for an account(createAccount).

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an account is created (createAccount)

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/deleteSuitability
-d clientID=someclientid
-d developerAPIKey=somedeveloperkey
-d accountId=A23454

Response

Field Type Description
accountDetails string Success Message

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": "Suitability deleted successfully!"
}

POST /v3/getAccount

Deprecated

This endpoint is deprecated and may be removed in a future version.

This method is used to get all information for an account (createAccount).

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an account is created (createAccount).

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/getAccount
 -d clientID=someclientid
 -d developerAPIKey=somedeveloperkey
 -d accountId=A77654

Response

Field Type Description
accountDetails object Account information object (all information of the matched account)

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": {
    "accountId": "A77654",
    "accountName": "john",
    "type": "Individual",
    "entityType": "Revocable Trust",
    "residentType": "domestic_account",
    "address1": "First street",
    "address2": "Fourth Avenue",
    "city": "ATLANTA",
    "state": "GA",
    "zip": "43543",
    "country": "USA",
    "email": "test@gmail.com",
    "phone": "4152323232",
    "taxID": "43543543",
    "kycStatus": "Pending",
    "kycDate": "2016-02-23 13:29:30",
    "amlStatus": "Pending",
    "amlDate": "2016-02-23 13:29:30",
    "suitabilityScore": "5",
    "suitabilityDate": "2016-02-23 13:29:30",
    "suitabilityApprover": "Smith",
    "accreditedStatus": "Pending",
    "accreditedInvestor": "income",
    "accreditedInvestorDate": "02-02-2016",
    "506cLimit": "50000",
    "accountTotalLimit": "1000000",
    "singleInvestmentLimit": "1000",
    "associatedAC": "yes",
    "syndicate": "yes",
    "tags": "real estate",
    "notes": "Offers",
    "approvalStatus": "Pending",
    "approvalPrincipal": "Charles",
    "approvalLastReview": "12-02-2016",
    "archived_status": "0",
    "field1": "Account Field 1",
    "field2": "Account Field 2",
    "field3": "Account Field 3",
    "createdDate": "2016-02-23 13:29:30",
    "updatedDate": "2016-02-23 13:29:30"
  }
}

POST /v3/getAccountDocument

This method is used to retrieve the information for all documents (uploadAccountDocument) that are associated with a particular account. When a documentId is supplied, only that document is returned.

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an account is created (createAccount)
documentId string No Document Id generated at the time of the upload account document API method call. When omitted, all active documents for the account are returned.

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/getAccountDocument
-d clientID=someclientid
-d developerAPIKey=somedeveloperkey
-d accountId=A90251
-d documentId=SDrKb

Response

Field Type Description
document_details object[] Array of account document records.

Each object in document_details contains:

Field Type Description
id string Internal row identifier for the document record.
accountid string Account ID the document belongs to.
documentid string Document ID.
documentTitle string Title of the document.
documentFileName string Stored file name of the document.
documentFileReferenceCode string Reference code assigned to the uploaded file.
createdDate date Date the document was uploaded.
documentUrl string Time-limited URL for downloading the document (generated per request).

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "document_details": [
    {
      "id": "1024",
      "accountid": "A90251",
      "documentid": "Mvz1B",
      "documentTitle": "Test",
      "documentFileName": "GKrQ081118064622.pdf",
      "documentFileReferenceCode": "081118064622",
      "createdDate": "2018-11-08",
      "documentUrl": "https://api-development.norcapsecurities.com/admin_v3/Upload_documentation/uploadDocument/abc123"
    }
  ]
}

POST /v3/getAccountNotes

Deprecated

This endpoint is deprecated and may be removed in a future version.

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an account is created (createAccount)

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/getAccountNotes
 -d clientID=someclientid
 -d developerAPIKey=somedeveloperkey
 -d accountId=A12345

Response

Field Type Description
notesDetails object[] Returns the account notes details as an array. The developerAPIKey value is always masked as XXXXXXXXXXXXXXX.

Example Response

{
    "statusCode": "101",
    "statusDesc": "Ok",
    "notesDetails": [
        {
         "developerAPIKey": "XXXXXXXXXXXXXXX",
         "authorname": "jhon",
         "note": "test",
         "accountId": "A35513",
         "createdDate": "09-10-2019",
         "createdIP": "null"
        }
   ]
}

POST /v3/getAllAccounts

Deprecated

This endpoint is deprecated and may be removed in a future version.

Pulls all accounts for the client. This endpoint returns a maximum of 10000 results. Please migrate to /v3/accounts which supports pagination and filtering.

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/getAllAccounts
-d clientID=someclientid
-d developerAPIKey=somedeveloperkey

Response

Field Type Description
accountDetails string Get account details Array

Example Response

{
    "statusCode": "101",
    "statusDesc": "Ok",
    "accountDetails":someArray
}

POST /v3/getSuitability

This method is used to retrieve all suitability information for a specific account. The AccountID is required as a request parameter for this method.

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an account is created (createAccount)

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/getSuitability
-d clientID=someclientid
-d developerAPIKey=somedeveloperkey
-d accountId=A77654

Response

Field Type Description
accountDetails object Object containing all information of the matched account's suitability details. The additionalnotes value is returned base64-decoded.

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": {
    "id": "92",
    "developerAPIKey": "somedeveloperkey",
    "accountId": "A25454",
    "riskProfile": "1",
    "investmentObjective": "",
    "investmentExperience": "1",
    "privOffExperience": "1",
    "pctPrivSecurities": "12",
    "pctIlliquidSecurities": "12",
    "pctLiquidSecurities": "12",
    "pctRealEstate": "12",
    "timeHorizon": "12",
    "education": "High School or GED",
    "financialAdvisor": "No",
    "notes": null,
    "additionalnotes": "",
    "virtualStatus": "ACTIVE",
    "createdDate": "2017-10-13 10:22:04",
    "updatedDate": null,
    "createdIpAddress": "159.203.134.7",
    "updatedIpAddress": null,
    "isdeleted": null,
    "client_id": "1234"
  }
}

POST /v3/searchAccount

Deprecated

This endpoint is deprecated and may be removed in a future version.

This method is used to search all accounts for a specific keyword within the account information.

Parameters

Parameter Type Required Description
searchKeyword string Yes Keyword to search within all accounts

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/searchAccount
 -d clientID=someclientid
 -d developerAPIKey=somedeveloperkey
 -d searchKeyword=john

Response

Field Type Description
accountDetails string Array of account includes all information of the matched accounts

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": [
    {
      "accountId": "A34554",
      "accountName": "john",
      "type": "Individual",
      "entityType": "Revocable Trust",
      "residentType": "domestic_account",
      "address1": "First street",
      "address2": "Fourth Avenue",
      "city": "ATLANTA",
      "state": "GA",
      "zip": "43543",
      "country": "USA",
      "phone": "4152323232",
      "taxID": "43543543",
      "kycStatus": "Pending",
      "kycDate": "2016-02-23 13:29:30",
      "amlStatus": "Pending",
      "amlDate": "2016-02-23 13:29:30",
      "suitabilityScore": "5",
      "suitabilityDate": "2016-02-23 13:29:30",
      "suitabilityApprover": "Smith",
      "accreditedStatus": "Pending",
      "accreditedInvestor": "income",
      "accreditedInvestorDate": "02-02-2016",
      "506cLimit": "50000",
      "accountTotalLimit": "1000000",
      "singleInvestmentLimit": "1000",
      "associatedAC": "yes",
      "syndicate": "yes",
      "tags": "real estate",
      "notes": "Offers",
      "approvalStatus": "Pending",
      "approvalPrincipal": "Charles",
      "approvalLastReview": "12-02-2016"
    }
  ]
}

PUT /v3/updateSuitability

This method is used to update investment suitability information for an account (createAccount)

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an account is created(createAccount)
riskProfile conditional No Risk Profile Score, expected 1-5 (1=very conservative; 5=very aggressive). Not validated on update
investmentExperience conditional No Investment Experience Score, expected 1-5 (1=none; 5=extensive). Not validated on update
privOffExperience conditional No Experience Investing in Private Offerings Score, expected 1-5 (1=none; 5=extensive). Not validated on update
pctPrivSecurities integer No Percentage of the Investor's Investment Portfolio that is invested in Private Placements
pctIlliquidSecurities integer No Percentage of the Investor's Investment Portfolio that is invested in Illiquid Securities
pctLiquidSecurities integer No Percentage of the Investor's Investment Portfolio that is invested in Liquid Securities
pctRealEstate integer No Percentage of the Investor's Investment Portfolio that is invested in Real Estate
timeHorizon conditional No The number of years until the investment portfolio is expected to reach maturity
education conditional No Investor's Highest level of education: High School or GED, 4 Year College or University, Graduate Degree, Other
financialAdvisor string No Yes or No. Does the Investor have a financial advisor?
notes string No Free form text for any notes that need to be added for the suitability
investmentObjective string No Primarily on Capital Preservation, Both Capital Preservation and Growth, Primarily Focused on growth
additionalnotes string No Free form text for any notes that need to be added for the suitability

Example Request

curl -k -X PUT https://api-sandboxdash.norcapsecurities.com/v3/updateSuitability
-d clientID=someclientid
-d developerAPIKey=somedeveloperkey
-d accountId=A55473
-d riskProfile=1
-d investmentExperience=1
-d investmentObjective=Both Capital Preservation and Growth
-d privOffExperience=1
-d pctPrivSecurities=5
-d pctIlliquidSecurities=4
-d pctLiquidSecurities=4
-d pctRealEstate=6
-d timeHorizon=4
-d education=High School or GED
-d financialAdvisor=yes
-d notes=Suitability for an account
-d additionalnotes=Suitability for an account

Response

Field Type Description
accountDetails object[] Array containing one object with the account the suitability was updated for.

Each object in accountDetails contains:

Field Type Description
accountId string Unique identifier code for the account

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": [
    {
      "accountId": "A55473"
    }
  ]
}

PUT /v3/updateAccount

This method is used to update a specific account (updateAccount)

Parameters

Parameter Type Required Description
accountId string Yes Account ID that is generated by the API once an account is created (createAccount).
accountRegistration string Yes Investor Account Name. Must be the exact registration of the account, such as "John Doe and Jane Doe JTWROS" or "John Doe IRA" or "Doe Family Trust"
type conditional No Type of Account: Individual, Entity, TIC, JTWROS, IRA, SepIRA, ROTH, Joint
entityType conditional No Type of Entity: Revocable Trust, Irrevocable Trust, Limited Partnership, LLC, Corporation
domesticYN conditional No Domestic or International Account - "domestic_account" or "international_account"
streetAddress1 string No Account Street Address Line 1
streetAddress2 string No Account Street Address Line 2
city string No Account City
state string No The state in which the account holders primary residence (or physical address) is located (must use abbreviated 2 letter form). Use the value “NOUS” for addresses outside the United States.
zip string No Account Zip/Postal Code
country string No Account Country
email string No Account Primary Email Address
phone integer No Account Primary Phone Number
taxID integer No Account Tax ID Number
KYCstatus conditional No Know Your Customer(KYC) Status: Pending, Auto Approved, Manually Approved, Disapproved. The default status is "Pending"
AMLstatus conditional No Anti-Money Laundering (AML) Status: Pending, Auto Approved, Manually Approved, Disapproved. The default status is "Pending"
AMLdate date No Date that the Anti-Money Laundering (AML) status was updated from the default "Pending" status.
suitabilityScore integer No Score from 1 to 5. 5 being most suitable and 1 being least suitable
suitabilityDate date No Date that a Registered Representative (RR) approved the suitability for the account.
suitabilityApprover string No The name of the Registered Representative (RR) that approved the suitability for the account.
AccreditedStatus conditional No The Accreditation Status for the Account: Pending, Self Accredited, Verified Accredited, Not Accredited. The default status is "Pending"
Allow conditional No How the account was accredited: Income, Assets, All parties accredited, Pending
AIdate date No The date that the most recent accreditation review will expire.
506cLimit integer No The maximum total dollar amount that can be invested in Regulation D 506(c) offerings by this account
accountTotalLimit integer No The maximum total amount that can be invested from this account
singleInvestmentLimit integer No The maximum amount that can be invested in a single investment for the account
associatedAC conditional No Yes or No. Generally completed in the Admin interface following a discussion with the Investor
syndicate conditional No The submitted value is ignored. When this field is enabled for the API key, the account's syndicate flag is stored as the literal string syndicate; otherwise it is cleared
tags string No Up to 10 tags can be added to an account separated by commas. These are generally completed in the TAPI Admin interface or with question-based tag generation
notes string No Free form text for any notes that need to be added to the account
approvalStatus conditional No Principal Approval Status: Pending, Approved, Not Approved
approvalPrincipal string No Name of Principal Reviewing the Account
approvalLastReview date No Date of previous accreditation review
field1 string No Additional information relating to the account. Custom Field 1
field2 string No Additional information relating to the account. Custom Field 2
field3 string No Additional information relating to the account. Custom Field 3

Required flags depend on developer permissions

accountId and accountRegistration are each required only when the corresponding field is enabled in the calling API key's developer permissions. All other parameters are optional on update: parameters that are omitted or sent empty retain the account's existing values. The account's updatedIpAddress is set automatically from the caller's IP address and cannot be supplied as a parameter.

Example Request

curl -k -X PUT https://api-sandboxdash.norcapsecurities.com/v3/updateAccount
 -d clientID=someclientid
 -d developerAPIKey=somedeveloperkey
 -d accountId=A77854
 -d accountRegistration=John
 -d type=Individual
 -d entityType=Revocable Trust
 -d domesticYN=domestic_account
 -d streetAddress1=First street
 -d streetAddress2=Third avenue
 -d city=ATLANTA
 -d state=GA
 -d zip=32526
 -d country=USA
 -d phone=41545218562
 -d email=test@gmail.com
 -d taxID=875451545875855
 -d KYCstatus=pending
 -d AMLstatus=pending
 -d suitabilityScore=5
 -d suitabilityDate=02-18-2016
 -d suitabilityApprover=smith
 -d AccreditedStatus=pending
 -d Allow=income
 -d AIdate=02-18-2016
 -d 506cLimit=50000
 -d accountTotalLimit=200000
 -d singleInvestmentLimit=100
 -d associatedAC=yes
 -d syndicate=no
 -d tags=terms
 -d notes=Personal Account
 -d approvalStatus=pending
 -d approvalPrincipal=Charles
 -d approvalLastReview=02-15-2016
 -d field1=some text
 -d field2=some text
 -d field3=some text

Response

Field Type Description
accountDetails object[] Array containing the updated account record.

Each object in accountDetails contains:

Field Type Description
accountId string ID of the updated account.
suitabilityScore string Suitability score from 1 (least suitable) to 5 (most suitable).
approvalStatus string Principal Approval Status: Pending, Approved, Not Approved.

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": [
    {
      "accountId": "A77854",
      "suitabilityScore": "5",
      "approvalStatus": "pending"
    }
  ]
}

POST /v3/updateAccountArchiveStatus

Used to update an account to Archive status. Setting archiveStatus to 1 archives the account; 0 returns it to active.

Parameters

Parameter Type Required Description
accountId string Yes Account ID generated by the API
archiveStatus string Yes Change Status value e.g.: "0" (active) or "1" (archived)

Example Request

curl -k -X POST https://api-sandboxdash.norcapsecurities.com/v3/updateAccountArchiveStatus
-d clientID=someclientid
-d developerAPIKey=somedeveloperkey
-d accountId=A12345
-d archiveStatus=1 or 0

Response

Field Type Description
accountDetails object[] Array containing the updated account archive record.

Each object in accountDetails contains:

Field Type Description
accountId string Account ID that was updated.
archiveStatus string New archive status: 0 (active) or 1 (archived).

Example Response

{
  "statusCode": "101",
  "statusDesc": "Ok",
  "accountDetails": [
    {
      "accountId": "A12345",
      "archiveStatus": "0"
    }
  ]
}