fmc centralized database system cheryl caton chris coe

FMC Database

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FMC Centralized Database System

Cheryl Caton

Chris Coe

Donald Ruppert

Stacy Zimmerman

COMP281

22 February 2013

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Table of Contents

INTRODUCTION ............................................................................................................................................. 3

CONCEPTUAL DESIGN ................................................................................................................................... 5

LOGICAL AND PHYSICAL DESIGN ................................................................................................................... 6

DATA DICTIONARY ........................................................................................................................................ 7

NORMALIZATION .......................................................................................................................................... 8

DENORMALIZATION .................................................................................................................................... 10

BENEFITS TO SYSTEM .................................................................................................................................. 10

IMPLEMENTATION ...................................................................................................................................... 11

SQL COMMANDS AND OUTPUT .............................................................................................................. 11

SAMPLE DATA ......................................................................................................................................... 13

TABLE CONTENTS .................................................................................................................................... 19

QUERIES .................................................................................................................................................. 23

MANAGER VIEW ...................................................................................................................................... 24

DATA ENTRY VIEW .................................................................................................................................. 25

GRANTING ACCESS .................................................................................................................................. 25

REPORT.................................................................................................................................................... 26

COLD FUSION .............................................................................................................................................. 27

FINAL RESULTS ............................................................................................................................................ 32

APPENDIX .................................................................................................................................................... 33

LESSONS LEARNED ...................................................................................................................................... 33

PARTICIPATION ........................................................................................................................................... 34

CRITIQUE FORM .......................................................................................................................................... 36

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INTRODUCTION

Business as it is today:

The business had a database system in the past which has recently been cut from the budget. The

business currently scrapes by with a file/folder system to maintain documents for clients. The

business currently uses Google Contacts to keep phone numbers/addresses but this is

cumbersome when filling out forms and general client service. Google Contacts was a

temporary solution when we found out we were not going to pay for the old system anymore.

1. Problem to be solved:

The business is in need of a centralized database system which allows users to easily access all client

information, documents and account information. There are multiple advisors in the office so it is

important to be able to look up clients by advisors.

2. System proposed:

While there are multiple advisors in the office and many clients, it is a small firm and does not

need an enterprise system. There are less than 5 advisors in the office and less than 1000 clients

total, but will be expanding the number of clients in the future. The number of advisors will stay

under 5.

3. Business processes the system will address:

The system will maintain client documents in an easy to search manner. Currently, to find a

client’s documents, you have to click through about 3 layers of folders, then find the client’s

folder (listed by lastname-firstname) then each folder is organized into the type of documentation

(statements, applications, contracts etc.) There are about 12 different categories currently.

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This is very time consuming to load even one file. Advisors do not have time to do all of this, if

they even know where to look. The database will need to make it possible to look up a client,

see all of their information on one screen and a list of documents by category name. This mostly

would be done in the front end GUI system, but the database needs to store all of this.

The database will not need to track client actions (it is not a CRM system), it purely needs to

make it simple to create, retrieve, update, and delete client information and documentation.

To help keep the business in order, it would be helpful to track advisor documents such as copies

of any current licenses and copies of agreements between the business and advisors etc. These

would be similar to client documents where there are multiple categories for these types of

documents.

4. Users of the system:

The advisors will use the system to find client statements mainly. There will also be at most two

data entry users who maintain the database and help retrieve documents for the advisors.

5. Business rules (At least four valid business rules should be listed):

-Advisors can each have multiple clients. Clients can only have one advisor (mandatory).

-Clients can have multiple documents. Documents can only be owned by at most one client (a

client does not have to have any documents)

-Clients can have multiple beneficiaries. A beneficiary is named by only one client (If there is

a beneficiary, it has to have been named by only one client but a client is not required to have

beneficiaries)

-Clients can have multiple accounts. Accounts must be owned by only one client.

-Advisors can have multiple business documents. Business documents can only have one

advisor.

-Advisors can have multiple licenses. Each license can only have one advisor.

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CONCEPTUAL DESIGN

The diagram above shows how we are addressing the problems that the company has to

reduce the amount of searching each advisor needs to do per client. The business documents will

track the advisors information, such as copies of any current licenses or agreements. The license

table will track all license information for an advisor. This will make it easier for the company

to know when an advisor’s license is going to expire.

As you can see from the tables above, it will track all pertinent information on each

advisor and their clients. This will reduce the amount of administrative work that an advisor

would have to do in order to create, retrieve, update, and delete client information and

documentation, for example beneficiary.

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LOGICAL AND PHYSICAL DESIGN

DATABASE ARCHITECTURE

Our database is a hierarchical architecture due to the parent to child relationship.

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DATA DICTIONARY

TABLE NAME ATTRIBUTE NAME CONTENTS TYPE FORMAT RANGE REQUIRED PK OR FK FK REFFERENCED TABLE

IDACCOUNT Account ID Number INT 9999999 1-9999999 Y PK

IDCLIENT Client ID INT 9999999 1-9999999 Y FK Client Table

ACCT_VALUE Value of the Account DECIMAL

ACCT_TYPE Account Type VARCHAR

ACCT_MGMT_FEE Management Fee of the Account DECIMAL(5,2)

ACCT_HAS_PLAN Account has a Plan BOOL YACCT_NUM Account Number of the Account INT Y

IDACCT_PLAN Account ID INT Y PK

ACCT_PLAN_FEE Account Fee for Plan DECIMAL(20,2) Y

ACCT_PLAN_TERM Account Term Length VARCHAR(45) Y

IDAVISOR Adivsor ID INT 9999999 1-9999999 Y PK

IDZIP Zipcode ID INT Y FK ZipCode Table

ADV_LNAME Advisor Last Name VARCHAR(45) Y

ADV_FNAME Advisor First Name VARCHAR(45) Y

ADV_MID_INIT Advisor Middle Initial CHAR(1)

ADV_HOME_PHONE Advisor Homa Phone Number CHAR(10)

ADV_CELL_PHONE Advisor Cell Phone Number CH)AR(10) Y

ADV_TIN Advisor Tax ID Number VARCHAR(15) Xxxxxxxx Y

ADV_DOB Advisor Date of Birth DATE dd-mmm-yyyy Y

ADV_STREET_NUM Advisor Street Number VARCHAR(10) Xxxxxxxx Y

ADV_STREET_NAME Advisor Street Name VARCHAR(45 Xxxxxxxx Y

IDBENE Beneficiary Code INT Y PK

IDZIP Zipcode ID INT FK Zipcode Table


BENE_FNAME Beneficiary Last Name VARCHAR(45) Xxxxxxxx Y

BENE_LNAME Beneficiary First Name VARCHAR(45) Xxxxxxxx Y

BENE_MID_INIT Beneficiary Middle Initial CHAR(1) X

BENE_DOB Beneficiary Date of Birth DATE dd-mmm-yyyy Y

BENE_TIN Beneficiary Tax ID Number (VARCHAR15) Xxxxxxxx Y

BENE_STREET_NUM Beneficiary Street Number (VARCHAR10) Xxxxxxxx

BENE_STREET_NAME Beneficiary Street Name (VARCHAR45) Xxxxxxxx

IDBUSDOCUMENT Business Document ID INT Y PK

IDAVISOR Adivsor ID INT Y FK Advisor Table

BUSDOC_NAME Business Document Name VARCHAR(255) Xxxxxxxx

BUSDOC_DOC_BLOB Business Document Objects BLOB

BUSDOC_CATEGORY Business Documents Category VARCHAR(255) Xxxxxxxx

IDCLIENT Client ID INT 9999999 1-9999999 Y PK

IDADVISOR Adivsor ID INT 9999999 1-9999999 Y FK Advisor Table

IDZIP Zipcode ID INT Y FK ZipCode Table

CLIENT_LNAME Client Last Name VARCHAR(45) Xxxxxxxx Y

CLIENT_FNAME Client First Name VARCHAR(45) Xxxxxxxx Y

CLIENT_MID_INT Client Middle Initial CHAR(1) X

CLIENT_HOME_PHONE Client Home Phone CHAR(10) Xxxxxxxx

CLIENT_CELL_PHONE Client Cell Phone Number CHAR(10) Xxxxxxxx

CLIENT_TIN Client Tax ID Number VARCHAR(15) Y

CLIENT_DOB Client Date of Birth DATE dd-mmm-yyyy Y

CLIENT_STREET_NUM Client Street Number VARCHAR(10) Xxxxxxxx Y

CLIENT_STREET_NAME Client Street Name VARCHAR(45) Xxxxxxxx Y

CLIENT_ID_NUM Client ID Number VARCHAR(45) Xxxxxxxx Y

CLIENT_ID_EXPIRATION Clinet ID Expiration Date DATE dd-mmm-yyyy Y

CLIENT_ID_TYPE Client ID Type VARCHAR(45) Xxxxxxxx Y

CLIENT_IS_US_CITIZEN Client Is a US Citizen BOOL Y

IDDOC Document ID Number INT 9999999 1-9999999 Y PK


DOC_NAME Document Name VARCHAR(255) Xxxxxxxx

DOC_BLOB Document Objects BLOB

DOC_CATEGORY Document Category VARCHAR(255) Xxxxxxxx

IDLICENSE License ID Number INT 9999999 1-9999999 Y PK

IDADVISOR Adivsor ID INT 9999999 1-9999999 Y FK Advisor Table

LIC_TYPE License Type VARCHAR(45) Xxxxxxxx Y

LIC_STATE State License is In VARCHAR(45) Xxxxxxxx Y

LIC_EXPIRATION Date License expires DATE dd-mmm-yyyy Y

IDZIP Zipcode ID INT 99999 PK

CITY City VARCHAR(45) Xxxxxxxx Y

STATE State CHAR(2) XX Y

ZIPCODE

ACCOUNT

ACCOUNT PLAN

ADVISOR

BENEFICIARY

BUSDOCUMENT

CLIENT

DOCUMENT

LICENSE

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NORMALIZATION Primary Key

Business Document

idBUSDOCUMENT idADVISOR BUSDOC_NAME BUSDOC_BLOB BUSDOC_CATEGORY

License

idLICENSE idADVISOR LIC_TYPE LIC_STATE LIC_EXPIRATION DATE

Advisor

idADVISOR ADV_LNAME ADV_FNAME ADV_MID_INIT ADV_HOME_PHONE ADV_CELL_PHONE ADV_TIN ADV_DOB ADV_STREET_NUM ADV_STREET_NAME idZIP

Account

idACCOUNT idCLIENT ACCT_VALUE ACCT_TYPE ACCT_MGMT_FEE ACCT_HAS_PLAN ACCT_PLAN_FEE ACCT_PLAN_TERM ACCT_NUM

We removed the transitive relationships from the Account table by creating a separate table called ACCT_PLAN with a PK of idPlan. The new dependencies for the tables would be as follows.

Account

Partial

Partial

Partial

Transitive Partial

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idACCOUNT idCLIENT ACCT_VALUE ACCT_TYPE ACCT_MGMT_FEE ACCT_HAS_PLAN idPLAN ACCT_NUM

ACCT_PLAN

ACCT_HAS_PLAN ACCT_PLAN_FEE ACCT_PLAN_TERM

Client

idCLI

ENT

idADVI

SOR

CLIENT_L

NAME

CLIENT_F

NAME

CLIENT_MI

D_INIT

CLIENT_HOM

E_PHONE

CLIENT_CELL

_PHONE

CLIENT

_SSN

CLIENT

_DOB

CLIENT_STRE

ET_NUM

CLIENT_STREE

T_NAME

idZ

IP

CLIENT_ID

_NUM

CLIENT_ID_EXPIRA

TION_DATE

CLIENT_ID

_TYPE

CLIENT_IS_US

_CITIZEN

We removed the transitive dependencies in the Client table by changing the social security number, to tax identification number. This change not only removed the dependency, but also gave us a more

versatile field. We can store information for Client’s from different countries. We changed the SSN requirement for all our tables to TIN. The new dependency relationship is below.

Client

idCLIE

NT

idADVI

SOR

CLIENT_LN

AME

CLIENT_FN

AME

CLIENT_MI

D_INIT

CLIENT_HOME_

PHONE

CLIENT_CELL_

PHONE

CLIENT

_TIN

CLIENT_

DOB

CLIENT_STREE

T_NUM

CLIENT_STREET

_NAME

idZ

IP

CLIENT_ID_

NUM

CLIENT_ID_EXPIRATI

ON_DATE

CLIENT_ID

_TYPE

Beneficiary

idBENE idCLIENT BENE_FNAME BENE_LNAME BENE_MID_INIT BENE_TIN BENE_STREET_NUM BENE_STREET_NAME idZIP

Partial

Transitive

Partial

Partial

Partial

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Document

idDOC IDCLIENT DOC_NA ME DOB_BLOB DOC_CATEGORY

We created a separate table for Zip Code, State, and City.

idZIP CITY STATE

DENORMALIZATION We reviewed the denormalization process and found that it would not make our system efficient, and would make things slower in the end. We decided that the system would be storing more

duplicate information.

BENEFITS TO SYSTEM The new system will reduce the amount of time advisors spend looking for information. It is more efficient because all of the client’s information is in one place. This will reduce the number of clerical errors do to having information in multiple folders. The new system is cost beneficial to the company because of the improved efficiency. It will reduce the amount of time the advisors spend inputting and looking up information.

Partial

Partial

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IMPLEMENTATION

SQL COMMANDS AND OUTPUT

CREATE TABLE COE05.ACCOUNT ( idACCOUNT INT NOT NULL , idCLIENT INT NOT NULL , ACCT_VALUE DECIMAL(20,2) NULL , ACCT_TYPE VARCHAR(45) NULL , ACCT_MGMT_FEE DECIMAL(5,2) NULL , ACCT_HAS_PLAN CHAR(1) NOT NULL , ACCT_NUM INT NOT NULL , PRIMARY KEY (idACCOUNT) , FOREIGN KEY (idCLIENT ) REFERENCES COE05.CLIENT (idCLIENT )); table COE05.ACCOUNT created.

CREATE TABLE COE05.ACCT_PLAN ( idACCT_PLAN INT NOT NULL , idACCOUNT INT NOT NULL , ACCT_PLAN_FEE NUMBER(3,2) NOT NULL , ACCT_PLAN_TERM VARCHAR(45) NOT NULL , PRIMARY KEY (idACCT_PLAN) , FOREIGN KEY (idACCOUNT ) REFERENCES COE05.ACCOUNT (idACCOUNT )); table COE05.ACCT_PLAN created.

CREATE TABLE COE05.ADVISOR ( idADVISOR INT NOT NULL, idZIP_CODE INT NOT NULL , ADV_LNAME VARCHAR(45) NOT NULL , ADV_FNAME VARCHAR(45) NOT NULL , ADV_MID_INIT CHAR(1) NULL , ADV_HOME_PHONE CHAR(10) NULL , ADV_CELL_PHONE CHAR(10) NOT NULL , ADV_TIN VARCHAR(15) NOT NULL , ADV_DOB DATE NOT NULL , ADV_STREET_NUM VARCHAR(10) NOT NULL , ADV_STREET_NAME VARCHAR(45) NOT NULL , PRIMARY KEY (idADVISOR) , FOREIGN KEY (idZIP_CODE ) REFERENCES COE05.ZIP_CODE);

table COE05.ADVISOR created.

CREATE TABLE COE05.BENEFICIARY ( idBENE INT NOT NULL , idCLIENT INT NOT NULL , idZIP_CODE INT NOT NULL , BENE_FNAME VARCHAR(45) NOT NULL , BENE_LNAME VARCHAR(45) NOT NULL , BENE_MID_INIT CHAR(1) NULL , BENE_DOB DATE NOT NULL ,

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BENE_TIN VARCHAR(15) NOT NULL , BENE_STREET_NUM VARCHAR(10) NULL , BENE_STREET_NAME VARCHAR(45) NULL , PRIMARY KEY (idBENE) , FOREIGN KEY (idCLIENT ) REFERENCES COE05.CLIENT (idCLIENT ), FOREIGN KEY (idZIP_CODE ) REFERENCES COE05.ZIP_CODE (idZIP_CODE )); table COE05. BENEFICIARY created.

CREATE TABLE COE05.BUSDOCUMENT ( idBUSDOCUMENT INT NOT NULL , idADVISOR INT NOT NULL , BUSDOC_NAME VARCHAR(255) NULL , BUSDOC_DOC_BLOB BLOB NULL , BUSDOC_CATEGORY VARCHAR(255) NULL , PRIMARY KEY (idBUSDOCUMENT) , FOREIGN KEY (idADVISOR ) REFERENCES COE05.ADVISOR (idADVISOR )); table COE05. BUSDOCUMENT created.

CREATE TABLE COE05.CLIENT ( idCLIENT INT NOT NULL , idADVISOR INT NOT NULL , idZIP_CODE INT NOT NULL , CLIENT_LNAME VARCHAR(45) NOT NULL , CLIENT_FNAME VARCHAR(45) NOT NULL , CLIENT_MID_INIT CHAR(1) NULL , CLIENT_HOME_PHONE CHAR(10) NULL , CLIENT_CELL_PHONE CHAR(10) NULL , CLIENT_TIN VARCHAR(15) NOT NULL , CLIENT_DOB DATE NOT NULL , CLIENT_STREET_NUM VARCHAR(10) NOT NULL , CLIENT_STREET_NAME VARCHAR(45) NOT NULL , CLIENT_ID_NUM VARCHAR(45) NOT NULL , CLIENT_ID_EXPIRATION DATE NOT NULL , CLIENT_ID_TYPE VARCHAR(45) NOT NULL , CLIENT_IS_US_CITIZEN CHAR(1) NOT NULL , PRIMARY KEY (idCLIENT) , FOREIGN KEY (idADVISOR ) REFERENCES COE05.ADVISOR (idADVISOR ), FOREIGN KEY (idZIP_CODE ) REFERENCES COE05.ZIP_CODE (idZIP_CODE ));

table COE05. CLIENT created.

CREATE TABLE COE05.DOCUMENT ( idDOC INT NOT NULL , idCLIENT INT NOT NULL , DOC_NAME VARCHAR(255) NULL , DOC_BLOB BLOB NULL , DOC_CATEGORY VARCHAR(255) NULL , PRIMARY KEY (idDOC) , FOREIGN KEY (idCLIENT ) REFERENCES COE05.CLIENT (idCLIENT ));

table COE05. DOCUMENT created.

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CREATE TABLE COE05.LICENSE ( idLICENSE INT NOT NULL , idADVISOR INT NOT NULL , LIC_TYPE VARCHAR(45) NOT NULL , LIC_STATE VARCHAR(45) NOT NULL , LIC_EXPIRATION DATE NOT NULL , PRIMARY KEY (idLICENSE) , FOREIGN KEY (idADVISOR ) REFERENCES COE05.ADVISOR (idADVISOR ));

table COE05. LICENSE created.

CREATE TABLE COE05.ZIP_CODE ( idZIP_CODE INT NOT NULL , CITY VARCHAR(45) NOT NULL , STATE CHAR(2) NOT NULL , PRIMARY KEY (idZIP_CODE) ));

SAMPLE DATA

INSERT INTO COE05.ACCOUNT (idACCOUNT, idCLIENT, ACCT_VALUE, ACCT_TYPE, ACCT_MGMT_FEE, ACCT_HAS_PLAN, ACCT_NUM) VALUES (1, 1, 356000.00, 'IRA', 1.0, 'Y', 946137510); INSERT INTO COE05.ACCOUNT (idACCOUNT, idCLIENT, ACCT_VALUE, ACCT_TYPE, ACCT_MGMT_FEE, ACCT_HAS_PLAN, ACCT_NUM) VALUES (2, 2, 965423.00, 'Individual', 0.75, 'Y', 333248442); INSERT INTO COE05.ACCOUNT (idACCOUNT, idCLIENT, ACCT_VALUE, ACCT_TYPE, ACCT_MGMT_FEE, ACCT_HAS_PLAN, ACCT_NUM) VALUES (3, 3, 1596823.98, 'IRA', 1.0, 'Y', 941394642); INSERT INTO COE05.ACCOUNT (idACCOUNT, idCLIENT, ACCT_VALUE, ACCT_TYPE, ACCT_MGMT_FEE, ACCT_HAS_PLAN, ACCT_NUM) VALUES (4, 4, 100000.01, 'Roth', 1.25, 'Y', 973488918); INSERT INTO COE05.ACCOUNT (idACCOUNT, idCLIENT, ACCT_VALUE, ACCT_TYPE, ACCT_MGMT_FEE, ACCT_HAS_PLAN, ACCT_NUM) VALUES (5, 5, 9876543.76, 'Roth', 0.50, 'Y', 171330049); INSERT INTO COE05.ACCOUNT (idACCOUNT, idCLIENT, ACCT_VALUE, ACCT_TYPE, ACCT_MGMT_FEE, ACCT_HAS_PLAN, ACCT_NUM) VALUES (6, 6, 258963.26, 'IRA', 1.1, 'Y', 86378593); INSERT INTO COE05.ACCOUNT (idACCOUNT, idCLIENT, ACCT_VALUE, ACCT_TYPE, ACCT_MGMT_FEE, ACCT_HAS_PLAN, ACCT_NUM) VALUES (7, 7, 369248.00, 'IRA', 0.75, 'Y', 897853783); INSERT INTO COE05.ACCOUNT (idACCOUNT, idCLIENT, ACCT_VALUE, ACCT_TYPE, ACCT_MGMT_FEE, ACCT_HAS_PLAN, ACCT_NUM) VALUES (8, 8, 654987321.95, 'Individual', 0.35, 'Y', 862187481); 1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

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1 rows inserted.

INSERT INTO COE05.ACCT_PLAN (idACCT_PLAN, idACCOUNT, ACCT_PLAN_FEE, ACCT_PLAN_TERM) VALUES (1, 1, 0.5, 'QUARTERLY'); INSERT INTO COE05.ACCT_PLAN (idACCT_PLAN, idACCOUNT, ACCT_PLAN_FEE, ACCT_PLAN_TERM) VALUES (2, 2, 0.5, 'QUARTERLY'); INSERT INTO COE05.ACCT_PLAN (idACCT_PLAN, idACCOUNT, ACCT_PLAN_FEE, ACCT_PLAN_TERM) VALUES (3, 3, 2, 'ANNUALLY'); INSERT INTO COE05.ACCT_PLAN (idACCT_PLAN, idACCOUNT, ACCT_PLAN_FEE, ACCT_PLAN_TERM) VALUES (4, 4, 1.15, 'QUARTERLY'); INSERT INTO COE05.ACCT_PLAN (idACCT_PLAN, idACCOUNT, ACCT_PLAN_FEE, ACCT_PLAN_TERM) VALUES (5, 5, 0.35, 'MONTHLY'); INSERT INTO COE05.ACCT_PLAN (idACCT_PLAN, idACCOUNT, ACCT_PLAN_FEE, ACCT_PLAN_TERM) VALUES (6, 6, 1.5, 'ANNUALLY'); INSERT INTO COE05.ACCT_PLAN (idACCT_PLAN, idACCOUNT, ACCT_PLAN_FEE, ACCT_PLAN_TERM) VALUES (7, 7, 0.75, 'MONTHLY'); INSERT INTO COE05.ACCT_PLAN (idACCT_PLAN, idACCOUNT, ACCT_PLAN_FEE, ACCT_PLAN_TERM) VALUES (8, 8, 0.25, 'ANNUALLY'); 1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

INSERT INTO COE05.ADVISOR (idADVISOR, idZIP_CODE, ADV_LNAME, ADV_FNAME, ADV_MID_INIT, ADV_HOME_PHONE, ADV_CELL_PHONE, ADV_TIN, ADV_DOB, ADV_STREET_NUM, ADV_STREET_NAME) VALUES (1, 19134, 'Drorpwilt', 'Laverne', NULL, NULL, '7735558411', '987654329', TO_DATE('apr-07-1965','Mon-DD-YYYY'), '711', 'Calhoun Street'); INSERT INTO COE05.ADVISOR (idADVISOR, idZIP_CODE, ADV_LNAME, ADV_FNAME, ADV_MID_INIT, ADV_HOME_PHONE, ADV_CELL_PHONE, ADV_TIN, ADV_DOB, ADV_STREET_NUM, ADV_STREET_NAME) VALUES (2, 55303, 'Montoya', 'Toni', 'E', NULL, '9454222116', '557557957', TO_DATE('mar-30-1937','Mon-DD-YYYY'), '884', 'Willison Street'); INSERT INTO COE05.ADVISOR (idADVISOR, idZIP_CODE, ADV_LNAME, ADV_FNAME, ADV_MID_INIT, ADV_HOME_PHONE, ADV_CELL_PHONE, ADV_TIN, ADV_DOB, ADV_STREET_NUM, ADV_STREET_NAME) VALUES (3, 52650, 'Wildman', 'Courtney', 'T', NULL, '7311051798', '654318775', TO_DATE('jan-18-1955','Mon-DD-YYYY'), '3896', 'Primrose Lane'); INSERT INTO COE05.ADVISOR (idADVISOR, idZIP_CODE, ADV_LNAME, ADV_FNAME, ADV_MID_INIT, ADV_HOME_PHONE, ADV_CELL_PHONE, ADV_TIN, ADV_DOB, ADV_STREET_NUM, ADV_STREET_NAME) VALUES (4, 17101, 'Boudreau', 'Neil', 'F', NULL, '9161079577', '615998249', TO_DATE('aug-09-1963','Mon-DD-YYYY'), '3669', 'Hidden Valley Road'); INSERT INTO COE05.ADVISOR (idADVISOR, idZIP_CODE, ADV_LNAME, ADV_FNAME, ADV_MID_INIT, ADV_HOME_PHONE, ADV_CELL_PHONE, ADV_TIN, ADV_DOB, ADV_STREET_NUM, ADV_STREET_NAME) VALUES (5, 01027, 'Sanders', 'Wilbert', NULL, NULL, '5676770130', '536832170', TO_DATE('dec-11-1954','Mon-DD-YYYY'), '2137', 'Kinney Street'); INSERT INTO COE05.ADVISOR (idADVISOR, idZIP_CODE, ADV_LNAME, ADV_FNAME, ADV_MID_INIT, ADV_HOME_PHONE, ADV_CELL_PHONE, ADV_TIN, ADV_DOB, ADV_STREET_NUM, ADV_STREET_NAME)

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VALUES (6, 27834, 'Segers', 'Byron', 'J', NULL, '7894996410', '886704895', TO_DATE('jul-10-1971','Mon-DD-YYYY'), '2184', 'Fort Street'); INSERT INTO COE05.ADVISOR (idADVISOR, idZIP_CODE, ADV_LNAME, ADV_FNAME, ADV_MID_INIT, ADV_HOME_PHONE, ADV_CELL_PHONE, ADV_TIN, ADV_DOB, ADV_STREET_NUM, ADV_STREET_NAME) VALUES (7, 98260, 'McDuffie', 'Brenda', 'R', '3721243893', '3726456985', '640012366', TO_DATE('jun-27-1986','Mon-DD-YYYY'), '2131', 'Boone Crockett Lane'); INSERT INTO COE05.ADVISOR (idADVISOR, idZIP_CODE, ADV_LNAME, ADV_FNAME, ADV_MID_INIT, ADV_HOME_PHONE, ADV_CELL_PHONE, ADV_TIN, ADV_DOB, ADV_STREET_NUM, ADV_STREET_NAME) VALUES (8, 48706, 'Johnson', 'Scott', 'M', '6942211297', '6941764596', '916220110', TO_DATE('jan-24-1917','Mon-DD-YYYY'), '809', 'Hart Ridge Road'); 1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

INSERT INTO COE05.BENEFICIARY (idBENE, idCLIENT, idZIP_CODE, BENE_FNAME, BENE_LNAME, BENE_MID_INIT, BENE_DOB, BENE_TIN, BENE_STREET_NUM, BENE_STREET_NAME) VALUES (1, 1, 90564, 'Quincy', 'Blargish', NULL, TO_DATE('MAY-23-1976','Mon-DD-YYYY'), '666229630', '8411 1/2', 'Sunset Boulevard'); INSERT INTO COE05.BENEFICIARY (idBENE, idCLIENT, idZIP_CODE, BENE_FNAME, BENE_LNAME, BENE_MID_INIT, BENE_DOB, BENE_TIN, BENE_STREET_NUM, BENE_STREET_NAME) VALUES (2, 5, 27401, 'Hazel', 'Robinson', 'R', TO_DATE('nov-12-1929','Mon-DD-YYYY'), '153388812', '661', 'Ingram Road'); INSERT INTO COE05.BENEFICIARY (idBENE, idCLIENT, idZIP_CODE, BENE_FNAME, BENE_LNAME, BENE_MID_INIT, BENE_DOB, BENE_TIN, BENE_STREET_NUM, BENE_STREET_NAME) VALUES (3, 4, 07662, 'Kelly', 'Burke', 'J', TO_DATE('sep-24-1930','Mon-DD-YYYY'), '875073990', '198', 'Pinnickinnick Street'); INSERT INTO COE05.BENEFICIARY (idBENE, idCLIENT, idZIP_CODE, BENE_FNAME, BENE_LNAME, BENE_MID_INIT, BENE_DOB, BENE_TIN, BENE_STREET_NUM, BENE_STREET_NAME) VALUES (4, 6, 03101, 'Jane', 'Lorenz', 'A', TO_DATE('oct-31-1930','Mon-DD-YYYY'), '841719507', '2631', 'Elliott Street'); INSERT INTO COE05.BENEFICIARY (idBENE, idCLIENT, idZIP_CODE, BENE_FNAME, BENE_LNAME, BENE_MID_INIT, BENE_DOB, BENE_TIN, BENE_STREET_NUM, BENE_STREET_NAME) VALUES (5, 8, 33308, 'Felicia', 'Morales', 'A', TO_DATE('nov-10-1999','Mon-DD-YYYY'), '524946683', '341', 'West Fork Drive'); INSERT INTO COE05.BENEFICIARY (idBENE, idCLIENT, idZIP_CODE, BENE_FNAME, BENE_LNAME, BENE_MID_INIT, BENE_DOB, BENE_TIN, BENE_STREET_NUM, BENE_STREET_NAME) VALUES (6, 7, 31630, 'Ronald', 'Young', 'R', TO_DATE('mar-03-1949','Mon-DD-YYYY'), '729459292', '509', 'Locust Street'); INSERT INTO COE05.BENEFICIARY (idBENE, idCLIENT, idZIP_CODE, BENE_FNAME, BENE_LNAME, BENE_MID_INIT, BENE_DOB, BENE_TIN, BENE_STREET_NUM, BENE_STREET_NAME) VALUES (7, 3, 99773, 'Janet', 'McCullough', 'B', TO_DATE('jul-18-1921','Mon-DD-YYYY'), '467732870', '4731', 'Blackwell Street'); INSERT INTO COE05.BENEFICIARY (idBENE, idCLIENT, idZIP_CODE, BENE_FNAME, BENE_LNAME, BENE_MID_INIT, BENE_DOB, BENE_TIN, BENE_STREET_NUM, BENE_STREET_NAME) VALUES (8, 2, 99501, 'Ralph', 'Brown', 'A', TO_DATE('nov-28-1950','Mon-DD-YYYY'), '630997320', '3245', 'Kidd Avenue'); 1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

FMC Database

16

1 rows inserted.

INSERT INTO COE05.BUSDOCUMENT (idBUSDOCUMENT, idADVISOR, BUSDOC_NAME, BUSDOC_DOC_BLOB, BUSDOC_CATEGORY) VALUES (1, 1, 'Scan of Securities License', '54455354', 'License'); INSERT INTO COE05.BUSDOCUMENT (idBUSDOCUMENT, idADVISOR, BUSDOC_NAME, BUSDOC_DOC_BLOB, BUSDOC_CATEGORY) VALUES (2, 8, 'Scan of Insurance License', '54455354', 'License'); INSERT INTO COE05.BUSDOCUMENT (idBUSDOCUMENT, idADVISOR, BUSDOC_NAME, BUSDOC_DOC_BLOB, BUSDOC_CATEGORY) VALUES (3, 3, 'Scan of Insurance License', '54455354', 'License'); INSERT INTO COE05.BUSDOCUMENT (idBUSDOCUMENT, idADVISOR, BUSDOC_NAME, BUSDOC_DOC_BLOB, BUSDOC_CATEGORY) VALUES (4, 7, 'Scan of Securities License', '54455354', 'License'); INSERT INTO COE05.BUSDOCUMENT (idBUSDOCUMENT, idADVISOR, BUSDOC_NAME, BUSDOC_DOC_BLOB, BUSDOC_CATEGORY) VALUES (5, 2, 'Scan of Insurance License', '54455354', 'License'); INSERT INTO COE05.BUSDOCUMENT (idBUSDOCUMENT, idADVISOR, BUSDOC_NAME, BUSDOC_DOC_BLOB, BUSDOC_CATEGORY) VALUES (6, 6, 'Scan of Securities License', '54455354', 'License'); INSERT INTO COE05.BUSDOCUMENT (idBUSDOCUMENT, idADVISOR, BUSDOC_NAME, BUSDOC_DOC_BLOB, BUSDOC_CATEGORY) VALUES (7, 2, 'Scan of Securities License', '54455354', 'License'); INSERT INTO COE05.BUSDOCUMENT (idBUSDOCUMENT, idADVISOR, BUSDOC_NAME, BUSDOC_DOC_BLOB, BUSDOC_CATEGORY) VALUES (8, 4, 'Scan of Insurance License', '54455354', 'License'); 1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

INSERT INTO COE05.CLIENT (idCLIENT, idADVISOR, idZIP_CODE, CLIENT_LNAME, CLIENT_FNAME, CLIENT_MID_INIT, CLIENT_HOME_PHONE, CLIENT_CELL_PHONE, CLIENT_TIN, CLIENT_DOB, CLIENT_STREET_NUM, CLIENT_STREET_NAME, CLIENT_ID_NUM, CLIENT_ID_EXPIRATION, CLIENT_ID_TYPE, CLIENT_IS_US_CITIZEN) VALUES (1, 1, 23242, 'Pirkroost', 'Cletus', NULL, '2125550110', NULL, '987654320', TO_DATE('JAN-01-1953', 'Mon-DD-YYYY'), '185', '74th Street', '791638482', TO_DATE('jan-01-2015', 'Mon-DD-YYYY'), 'DL', 'Y'); INSERT INTO COE05.CLIENT (idCLIENT, idADVISOR, idZIP_CODE, CLIENT_LNAME, CLIENT_FNAME, CLIENT_MID_INIT, CLIENT_HOME_PHONE, CLIENT_CELL_PHONE, CLIENT_TIN, CLIENT_DOB, CLIENT_STREET_NUM, CLIENT_STREET_NAME, CLIENT_ID_NUM, CLIENT_ID_EXPIRATION, CLIENT_ID_TYPE, CLIENT_IS_US_CITIZEN) VALUES (2, 3, 89101, 'Sutton', 'Tara', 'G', '3711850412', NULL, '551963591', TO_DATE('mar-26-1948', 'Mon-DD-YYYY'), '4561', 'Hiney Road', 'X46833671', TO_DATE('mar-26-2016', 'Mon-DD-YYYY'), 'DL', 'Y'); INSERT INTO COE05.CLIENT (idCLIENT, idADVISOR, idZIP_CODE, CLIENT_LNAME, CLIENT_FNAME, CLIENT_MID_INIT, CLIENT_HOME_PHONE, CLIENT_CELL_PHONE, CLIENT_TIN, CLIENT_DOB, CLIENT_STREET_NUM, CLIENT_STREET_NAME, CLIENT_ID_NUM, CLIENT_ID_EXPIRATION, CLIENT_ID_TYPE, CLIENT_IS_US_CITIZEN) VALUES (3, 3, 91706, 'Dillon', 'Lenora', NULL, '3711850412', NULL, '031738866', TO_DATE('jul-24-1969', 'Mon-DD-YYYY'), '4681', 'Thompson Street', 'C1622756', TO_DATE('jul-24-2015', 'Mon-DD-YYYY'), 'DL', 'Y');

FMC Database

17

INSERT INTO COE05.CLIENT (idCLIENT, idADVISOR, idZIP_CODE, CLIENT_LNAME, CLIENT_FNAME, CLIENT_MID_INIT, CLIENT_HOME_PHONE, CLIENT_CELL_PHONE, CLIENT_TIN, CLIENT_DOB, CLIENT_STREET_NUM, CLIENT_STREET_NAME, CLIENT_ID_NUM, CLIENT_ID_EXPIRATION, CLIENT_ID_TYPE, CLIENT_IS_US_CITIZEN) VALUES (4, 2, 62531, 'Monroe', 'Rhonda', NULL, '4870895562', '4879516549', '659023015', TO_DATE('jul-14-1949', 'Mon-DD-YYYY'), '570', 'University Hill Road', 'M07781302821', TO_DATE('jul-14-2016', 'Mon-DD-YYYY'), 'DL', 'Y'); INSERT INTO COE05.CLIENT (idCLIENT, idADVISOR, idZIP_CODE, CLIENT_LNAME, CLIENT_FNAME, CLIENT_MID_INIT, CLIENT_HOME_PHONE, CLIENT_CELL_PHONE, CLIENT_TIN, CLIENT_DOB, CLIENT_STREET_NUM, CLIENT_STREET_NAME, CLIENT_ID_NUM, CLIENT_ID_EXPIRATION, CLIENT_ID_TYPE, CLIENT_IS_US_CITIZEN) VALUES (5, 5, 90046, 'Lopez', 'Lucas', 'I', '6652920152', NULL, '084761081', TO_DATE('mar-26-1944', 'Mon-DD-YYYY'), '3296', 'Libbry Street', 'C5501497', TO_DATE('mar-26-2017', 'Mon-DD-YYYY'), 'DL', 'Y'); INSERT INTO COE05.CLIENT (idCLIENT, idADVISOR, idZIP_CODE, CLIENT_LNAME, CLIENT_FNAME, CLIENT_MID_INIT, CLIENT_HOME_PHONE, CLIENT_CELL_PHONE, CLIENT_TIN, CLIENT_DOB, CLIENT_STREET_NUM, CLIENT_STREET_NAME, CLIENT_ID_NUM, CLIENT_ID_EXPIRATION, CLIENT_ID_TYPE, CLIENT_IS_US_CITIZEN) VALUES (6, 7, 39201, 'Mejia', 'Bryon', 'L', '9949010000', '9546549873', '259876327', TO_DATE('aug-12-1939', 'Mon-DD-YYYY'), '3878', 'Brownton Road', '259876327', TO_DATE('aug-12-2018', 'Mon-DD-YYYY'), 'DL', 'Y'); INSERT INTO COE05.CLIENT (idCLIENT, idADVISOR, idZIP_CODE, CLIENT_LNAME, CLIENT_FNAME, CLIENT_MID_INIT, CLIENT_HOME_PHONE, CLIENT_CELL_PHONE, CLIENT_TIN, CLIENT_DOB, CLIENT_STREET_NUM, CLIENT_STREET_NAME, CLIENT_ID_NUM, CLIENT_ID_EXPIRATION, CLIENT_ID_TYPE, CLIENT_IS_US_CITIZEN) VALUES (7, 6, 04101, 'Small', 'Millard', 'J', '5164787099', NULL, '298950466', TO_DATE('may-13-1986', 'Mon-DD-YYYY'), '211', 'Bloomfield Way', '1719428', TO_DATE('may-13-2018', 'Mon-DD-YYYY'), 'DL', 'Y'); INSERT INTO COE05.CLIENT (idCLIENT, idADVISOR, idZIP_CODE, CLIENT_LNAME, CLIENT_FNAME, CLIENT_MID_INIT, CLIENT_HOME_PHONE, CLIENT_CELL_PHONE, CLIENT_TIN, CLIENT_DOB, CLIENT_STREET_NUM, CLIENT_STREET_NAME, CLIENT_ID_NUM, CLIENT_ID_EXPIRATION, CLIENT_ID_TYPE, CLIENT_IS_US_CITIZEN) VALUES (8, 4, 91403, 'Stuart', 'Lemuel', 'P', '3528228819', NULL, '820068224', TO_DATE('dec-18-1963', 'Mon-DD-YYYY'), '3983', 'Joy Lane', 'C1222695', TO_DATE('dec-18-2016', 'Mon-DD-YYYY'), 'DL', 'Y'); 1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

INSERT INTO COE05.DOCUMENT (idDOC, idCLIENT, DOC_NAME, DOC_BLOB, DOC_CATEGORY) VALUES (1, 6, 'January 2013 Statement', '54455354', 'Financial Statements'); INSERT INTO COE05.DOCUMENT (idDOC, idCLIENT, DOC_NAME, DOC_BLOB, DOC_CATEGORY) VALUES (2, 2, 'June 2012 Statement', '54455354', 'Financial Statements'); INSERT INTO COE05.DOCUMENT (idDOC, idCLIENT, DOC_NAME, DOC_BLOB, DOC_CATEGORY) VALUES (3, 5, 'February 2013 Statement', '54455354', 'Financial Statements'); INSERT INTO COE05.DOCUMENT (idDOC, idCLIENT, DOC_NAME, DOC_BLOB, DOC_CATEGORY) VALUES (4, 3, 'December 2012 Statement', '54455354', 'Financial Statements'); INSERT INTO COE05.DOCUMENT (idDOC, idCLIENT, DOC_NAME, DOC_BLOB, DOC_CATEGORY) VALUES (5, 7, 'Scan of ID Card', '54455354', 'ID Card'); INSERT INTO COE05.DOCUMENT (idDOC, idCLIENT, DOC_NAME, DOC_BLOB, DOC_CATEGORY) VALUES (6, 2, 'March 1995 Statement', '54455354', 'Financial Statements'); INSERT INTO COE05.DOCUMENT (idDOC, idCLIENT, DOC_NAME, DOC_BLOB, DOC_CATEGORY) VALUES (7, 8, 'Scan of ID Card', '54455354', 'ID Card'); INSERT INTO COE05.DOCUMENT (idDOC, idCLIENT, DOC_NAME, DOC_BLOB, DOC_CATEGORY) VALUES (8, 4, 'August 1997 Statement', '54455354', 'Financial Statements'); 1 rows inserted.

FMC Database

18

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

INSERT INTO COE05.LICENSE (idLICENSE, idADVISOR, LIC_TYPE, LIC_STATE, LIC_EXPIRATION) VALUES (1, 1, 'INSURANCE', 'IL', TO_DATE('MAR-15-2014','Mon-DD-YYYY')); INSERT INTO COE05.LICENSE (idLICENSE, idADVISOR, LIC_TYPE, LIC_STATE, LIC_EXPIRATION) VALUES (2, 1, 'SECURITIES', 'OH', TO_DATE('nov-25-2014','Mon-DD-YYYY')); INSERT INTO COE05.LICENSE (idLICENSE, idADVISOR, LIC_TYPE, LIC_STATE, LIC_EXPIRATION) VALUES (3, 2, 'INSURANCE', 'CA', TO_DATE('mar-30-1937','Mon-DD-YYYY')); INSERT INTO COE05.LICENSE (idLICENSE, idADVISOR, LIC_TYPE, LIC_STATE, LIC_EXPIRATION) VALUES (4, 3, 'INSURANCE', 'NV', TO_DATE('jul-22-2019','Mon-DD-YYYY')); INSERT INTO COE05.LICENSE (idLICENSE, idADVISOR, LIC_TYPE, LIC_STATE, LIC_EXPIRATION) VALUES (5, 4, 'INSURANCE', 'OR', TO_DATE('jan-24-2014','Mon-DD-YYYY')); INSERT INTO COE05.LICENSE (idLICENSE, idADVISOR, LIC_TYPE, LIC_STATE, LIC_EXPIRATION) VALUES (6, 5, 'INSURANCE', 'GA', TO_DATE('dec-11-2017','Mon-DD-YYYY')); INSERT INTO COE05.LICENSE (idLICENSE, idADVISOR, LIC_TYPE, LIC_STATE, LIC_EXPIRATION) VALUES (7, 3, 'SECURITIES', 'IA', TO_DATE('jan-18-2015','Mon-DD-YYYY')); INSERT INTO COE05.LICENSE (idLICENSE, idADVISOR, LIC_TYPE, LIC_STATE, LIC_EXPIRATION) VALUES (8, 2, 'SECURITIES', 'MN', TO_DATE('MAR-15-2016','Mon-DD-YYYY')); 1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (19134, 'Chicago', 'IL'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (23242, 'New York', 'NY'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (90564, 'Hollywood', 'CA'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (55303, 'Anoka', 'MN'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (52650, 'Dodgeville', 'WI'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (17101, 'Harrisburg', 'PA'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (01027, 'Easthampton', 'MA'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (27834, 'Greenville', 'NC'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (98260, 'South Whidbey', 'WA'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (48706, 'Bay City', 'MI');

FMC Database

19

INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (89101, 'Las Vegas', 'NV'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (91706, 'Baldwin Park', 'CA'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (62531, 'Edinburg', 'IL'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (90046, 'Los Angeles', 'CA'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (39201, 'Jackson', 'MS'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (04101, 'Portland', 'ME'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (91403, 'Sherman Oaks', 'CA'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (27401, 'Greensboro', 'NC'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (07662, 'Rochelle Park', 'NJ'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (03101, 'Manchester', 'NH'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (33308, 'Fort Lauderdale', 'FL'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (31630, 'Nashville', 'GA'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (99773, 'Shungnak', 'AK'); INSERT INTO COE05.ZIP_CODE (idZIP_CODE, CITY, STATE) VALUES (99501, 'Anchorage', 'AK'); 1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

1 rows inserted.

TABLE CONTENTS

SELECT * FROM ACCOUNT;

SELECT * FROM ACCT_PLAN;

SELECT * FROM ADIVSOR;

SELECT * FROM CLIENT;

SELECT * FROM DOCUMENT;

SELECT * FROM LICENSE;

SELECT * FROM ZIP_CODE;

FMC Database

20

IDACCOUNT IDCLIENT ACCT_VALUE ACCT_TYPE ACCT_MGMT_FEE ACCT_HAS_PLAN ACCT_NUM

1 1 356000 IRA 1 Y 946137510

2 2 965423 Individual 0.75 Y 333248442

3 3 1596823.98 IRA 1 Y 941394642

4 4 100000.01 Roth 1.25 Y 973488918

5 5 9876543.76 Roth 0.5 Y 171330049

6 6 258963.26 IRA 1.1 Y 86378593

7 7 9248 IRA 0.75 Y 897853783

8 8 654987322 Individual 0.35 Y 862187481

8 rows selected

IDACCT_PLAN IDACCOUNT ACCT_PLAN_FEE ACCT_PLAN_TERM

1 1 0.5 QUARTERLY

2 2 0.5 QUARTERLY

3 3 2 ANNUALLY

4 4 1.15 QUARTERLY

5 5 0.35 MONTHLY

6 6 1.5 ANNUALLY

7 7 0.75 MONTHLY

8 8 0.25 ANNUALLY

ID ID IDZIP_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT_ CLIENT ADVISOR CODE LNAME FNAME MID_INIT HOME_PHONE CELL_PHONE TIN DOB STREET_ STREET ID_ ID_ ID_TYPE US_CITIZEN NUM NAME NUM EXPIRATION 1 1 23242 Pirkroost Cletus 2125550110 987654320 01-JAN-53 185 74th Street 791638482 01-JAN-15 DL Y

2 3 89101 Sutton Tara G 3711850412 551963591 26-MAR-48 4561 Hiney Road X46833671 26-MAR-16 DL Y

3 3 91706 Dillon Lenora 3711850412 031738866 24-JUL-69 4681 Thompson Street C1622756 24-JUL-15 DL Y

4 2 62531 Monroe Rhonda 4870895562 4879516549 659023015 14-JUL-49 570 University Hill Road M07781302821 14-JUL-16 DL Y

5 5 90046 Lopez Lucas I 6652920152 084761081 26-MAR-44 3296 Libbry Street C5501497 26-MAR-17 DL Y

7 6 4101 Small Millard J 5164787099 298950466 13-MAY-86 211 Bloomfield Way 1719428 13-MAY-18 DL Y

8 4 91403 Stuart Lemuel P 3528228819 820068224 18-DEC-63 3983 Joy Lane C1222695 18-DEC-16 DL Y

8 rows selected

IDDOC IDCLIENT DOC_NAME DOC_BLOB DOC_CATEGORY

1 6 January 2013 Statement (BLOB) Financial Statements

2 2 June 2012 Statement (BLOB) Financial Statements

4 3 December 2012 Statement (BLOB) Financial Statements

5 7 Scan of ID Card (BLOB) ID Card

6 2 March 1995 Statement (BLOB) Financial Statements

7 8 Scan of ID Card (BLOB) ID Card

8 4 August 1997 Statement (BLOB) Financial Statements

8 rows selected

IDLICENSE IDADVISOR LIC_TYPE LIC_STATE LIC_EXPIRATION

1 1 INSURANCE IL 15-MAR-14

2 1 SECURITIES OH 25-NOV-14

3 2 INSURANCE CA 30-MAR-37

4 3 INSURANCE NV 22-JUL-19

5 4 INSURANCE OR 24-JAN-14

6 5 INSURANCE GA 11-DEC-17

7 3 SECURITIES IA 18-JAN-15

8 2 ECURITIES MN 15-MAR-16

8 rows selected

IDZIP_CODE CITY STATE

---------- ----- -----

19134 Chicago IL

23242 New York NY

FMC Database

21

90564 Hollywood CA

55303 Anoka MN

52650 Dodgeville WI

17101 Harrisburg PA

27834 Greenville NC

98260 South Whidbey WA

48706 Bay City MI

89101 Las Vegas NV

91706 Baldwin Park CA

62531 Edinburg IL

90046 Los Angeles CA

39201 Jackson MS

41010 Portland ME

91403 Sherman Oaks CA

27401 Greensboro NC

07662 Rochelle Park NJ

31015 Manchester NH

33308 Fort Lauderdale FL

31630 Nashville GA

99773 Shungnak AK

99501 Anchorage AK

10275 Easthampton MA

24 rows selected

DESC ACCOUNT;

DESC ACCT_PLAN;

DESC ADVISOR;

DESC BENEFICIARY;

DESC BUSDOCUMENT;

DESC CLIENT;

DESC DOCUMENT;

DESC LICENSE;

DESC ZIP_CODE;

DESC ACCOUNT Name Null Type ------------- -------- ------------ IDACCOUNT NOT NULL NUMBER(38) IDCLIENT NOT NULL NUMBER(38) ACCT_VALUE NUMBER(20,2) ACCT_TYPE VARCHAR2(45) ACCT_MGMT_FEE NUMBER(5,2) ACCT_HAS_PLAN NOT NULL CHAR(1) ACCT_NUM NOT NULL NUMBER(38) DESC ACCT_PLAN Name Null Type -------------- -------- ------------ IDACCT_PLAN NOT NULL NUMBER(38)

FMC Database

22

IDACCOUNT NOT NULL NUMBER(38) ACCT_PLAN_FEE NOT NULL NUMBER(3,2) ACCT_PLAN_TERM NOT NULL VARCHAR2(45) DESC ADVISOR Name Null Type --------------- -------- ------------ IDADVISOR NOT NULL NUMBER(38) IDZIP_CODE NOT NULL NUMBER(38) ADV_LNAME NOT NULL VARCHAR2(45) ADV_FNAME NOT NULL VARCHAR2(45) ADV_MID_INIT CHAR(1) ADV_HOME_PHONE CHAR(10) ADV_CELL_PHONE NOT NULL CHAR(10) ADV_TIN NOT NULL VARCHAR2(15) ADV_DOB NOT NULL DATE ADV_STREET_NUM NOT NULL VARCHAR2(10) ADV_STREET_NAME NOT NULL VARCHAR2(45) DESC BENEFICIARY Name Null Type ---------------- -------- ------------ IDBENE NOT NULL NUMBER(38) IDCLIENT NOT NULL NUMBER(38) IDZIP_CODE NOT NULL NUMBER(38) BENE_FNAME NOT NULL VARCHAR2(45) BENE_LNAME NOT NULL VARCHAR2(45) BENE_MID_INIT CHAR(1) BENE_DOB NOT NULL DATE BENE_TIN NOT NULL VARCHAR2(15) BENE_STREET_NUM VARCHAR2(10) BENE_STREET_NAME VARCHAR2(45) DESC BUSDOCUMENT Name Null Type --------------- -------- ------------- IDBUSDOCUMENT NOT NULL NUMBER(38) IDADVISOR NOT NULL NUMBER(38) BUSDOC_NAME VARCHAR2(255) BUSDOC_DOC_BLOB BLOB BUSDOC_CATEGORY VARCHAR2(255) DESC CLIENT Name Null Type -------------------- -------- ------------ IDCLIENT NOT NULL NUMBER(38) IDADVISOR NOT NULL NUMBER(38) IDZIP_CODE NOT NULL NUMBER(38) CLIENT_LNAME NOT NULL VARCHAR2(45) CLIENT_FNAME NOT NULL VARCHAR2(45)

FMC Database

23

CLIENT_MID_INIT CHAR(1) CLIENT_HOME_PHONE CHAR(10) CLIENT_CELL_PHONE CHAR(10) CLIENT_TIN NOT NULL VARCHAR2(15) CLIENT_DOB NOT NULL DATE CLIENT_STREET_NUM NOT NULL VARCHAR2(10) CLIENT_STREET_NAME NOT NULL VARCHAR2(45) CLIENT_ID_NUM NOT NULL VARCHAR2(45) CLIENT_ID_EXPIRATION NOT NULL DATE CLIENT_ID_TYPE NOT NULL VARCHAR2(45) CLIENT_IS_US_CITIZEN NOT NULL CHAR(1) DESC DOCUMENT Name Null Type ------------ -------- ------------- IDDOC NOT NULL NUMBER(38) IDCLIENT NOT NULL NUMBER(38) DOC_NAME VARCHAR2(255) DOC_BLOB BLOB DOC_CATEGORY VARCHAR2(255) DESC LICENSE Name Null Type -------------- -------- ------------ IDLICENSE NOT NULL NUMBER(38) IDADVISOR NOT NULL NUMBER(38) LIC_TYPE NOT NULL VARCHAR2(45) LIC_STATE NOT NULL VARCHAR2(45) LIC_EXPIRATION NOT NULL DATE DESC ZIP_CODE Name Null Type ---------- -------- ------------ IDZIP_CODE NOT NULL NUMBER(38) CITY NOT NULL VARCHAR2(45) STATE NOT NULL CHAR(2)

QUERIES

--Client Query - Purpose to make a mailing list for Clients

SELECT CLIENT.CLIENT_LNAME, CLIENT.CLIENT_FNAME, CLIENT.CLIENT_STREET_NUM,

CLIENT.CLIENT_STREET_NAME, ZIP_CODE.CITY, ZIP_CODE.STATE, CLIENT.IDZIP_CODE AS ZipCode

FROM CLIENT

INNER JOIN ZIP_CODE

ON CLIENT.IDZIP_CODE=ZIP_CODE.IDZIP_CODE

ORDER BY CLIENT.CLIENT_LNAME;

FMC Database

24

CLIENT_LNAME CLIENT_FNAME CLIENT_STREET_NUM CLIENT_STREET_NAME CITY STATE ZIPCODE

Dillon Lenora 4681 Thompson Street Baldwin Park CA 91706

Lopez Lucas 3296 Libbry Street Los Angeles CA 90046

Mejia Bryon 3878 Brownton Road Jackson MS 39201

Monroe Rhonda 570 University Hill Road Edinburg IL 62531

Pirkroost Cletus 185 74th Street New York NY 23242

Small Millard 211 Bloomfield Way Portland ME 41010

Stuart Lemuel 3983 Joy Lane Sherman Oaks CA 91403

Sutton Tara 4561 Hiney Road Las Vegas NV 89101

8 rows selected

--Advisor Query - Purpose to make a mailing list for Advisors

SELECT ADVISOR.ADV_LNAME, ADVISOR.ADV_FNAME, ADVISOR.ADV_STREET_NUM,

ADVISOR.ADV_STREET_NAME, ZIP_CODE.CITY, ZIP_CODE.STATE, ADVISOR.IDZIP_CODE AS ZipCode

FROM ADVISOR

INNER JOIN ZIP_CODE

ON ADVISOR.IDZIP_CODE=ZIP_CODE.IDZIP_CODE

ORDER BY ADVISOR.ADV_LNAME;

ADV_LNAME ADV_FNAME ADV_STREET_NUM ADV_STREET_NAME CITY STATE ZIPCODE

Boudreau Neil 3669 Hidden Valley Road Harrisburg PA 17101

Drorpwilt Laverne 711 Calhoun Street Chicago IL 19134

Johnson Scott 809 Hart Ridge Road Bay City MI 48706

McDuffie Brenda 2131 Boone Crockett Lane South Whidbey WA 98260

Montoya Toni 884 Willison Street Anoka MN 55303

Sanders Wilbert 2137 Kinney Street Easthampton MA 10270

Segers Byron 2184 Fort Street Greenville NC 27834

Wildman Courtney 3896 Primrose Lane Dodgeville WI 52650

8 rows selected

MANAGER VIEW

CREATE VIEW acctval_report AS

SELECT CLIENT.idCLIENT,CLIENT_LNAME,CLIENT_FNAME,ACCT_VALUE,ADV_LNAME

FROM CLIENT

INNER JOIN ACCOUNT ON client.idclient = account.idclient

INNER JOIN ADVISOR ON client.idadvisor = advisor.idadvisor

WHERE ACCT_VALUE>=200000

ORDER BY ACCT_VALUE DESC;

view ACCTVAL_REPORT created.

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DATA ENTRY VIEW

CREATE VIEW nullentry_report AS

SELECT CLIENT_LNAME, CLIENT_FNAME, CLIENT_MID_INIT,CLIENT_HOME_PHONE,CLIENT_CELL_PHONE

FROM CLIENT

WHERE CLIENT_MID_INIT IS NULL

OR CLIENT_HOME_PHONE IS NULL

OR CLIENT_CELL_PHONE IS NULL

ORDER BY CLIENT_LNAME;

view NULLENTRY_REPORT created.

GRANTING ACCESS

GRANT SELECT ON acctval_report TO zimmer19,baxtert,caton03,rupppe01;

GRANT SELECT ON nullentry_report TO zimmer19,baxtert,caton03,rupppe01; GRANT succeeded.

GRANT succeeded.

SELECT * FROM COE05.ACCTVAL_REPORT; - from caton03

IDCLIENT CLIENT_LNAME CLIENT_FNAME ACCT_VALUE ADV_LNAME ---------- ---------------- ------------------- ---------------- ---------------

8 Stuart Lemuel 654987322 Boudreau

5 Lopez Lucas 9876543.76 Sanders 3 Dillon Lenora 1596823.98 Wildman

2 Sutton Tara 965423 Wildman 7 Small Millard 369248 Segers

1 Pirkroost Cletus 356000 Drorpwilt

6 Mejia Bryon 258963.26 McDuffie

7 rows selected

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REPORT

CLIENT_LNAME CLIENT_FNAME CLIENT_MID_INIT CLIENT_HOME_PHONE CLIENT_CELL_PHONE

Dillon Lenora 3711850412

Lopez Lucas I 6652920152

Monroe Rhonda 4870895562 4879516549

Pirkroost Cletus 2125550110

Small Millard J 5164787099

Stuart Lemuel P 3528228819

Sutton Tara G 3711850412

7 rows selected

IDCLIENT CLIENT_LNAME CLIENT_FNAME ACCT_VALUE ADV_LNAME

8 Stuart Lemuel 654987322 Boudreau

5 Lopez Lucas 9876543.76 Sanders

3 Dillon Lenora 1596823.98 Wildman

2 Sutton Tara 965423 Wildman

7 Small Millard 369248 Segers

1 Pirkroost Cletus 356000 Drorpwilt

6 Mejia Bryon 258963.26 McDuffie

7 rows selected

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COLD FUSION

http://codd.franklin.edu/~zimmer19/account.cfm

http://codd.franklin.edu/~zimmer19/beneficiary.cfm

http://codd.franklin.edu/~zimmer19/account.cfm

http://codd.franklin.edu/~zimmer19/beneficiary.cfm

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http://codd.franklin.edu/~zimmer19/advisor.cfm

http://codd.franklin.edu/~zimmer19/account_plan.cfm

http://codd.franklin.edu/~zimmer19/advisor.cfm

http://codd.franklin.edu/~zimmer19/account_plan.cfm

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http://codd.franklin.edu/~zimmer19/BusDocument.cfm

http://codd.franklin.edu/~zimmer19/client.cfm

http://codd.franklin.edu/~zimmer19/BusDocument.cfm

http://codd.franklin.edu/~zimmer19/client.cfm

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http://codd.franklin.edu/~zimmer19/document.cfm

http://codd.franklin.edu/~zimmer19/License.cfm

http://codd.franklin.edu/~zimmer19/document.cfm

http://codd.franklin.edu/~zimmer19/License.cfm

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http://codd.franklin.edu/~zimmer19/ZipCode.cfm

http://codd.franklin.edu/~zimmer19/Manager_View.cfm

http://codd.franklin.edu/~zimmer19/ZipCode.cfm

http://codd.franklin.edu/~zimmer19/Manager_View.cfm

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http://codd.franklin.edu/~zimmer19/data_entry_view.cfm

FINAL RESULTS Data Access - The data access standard would be ODBC. The database is not going to have enough users to warrant implementing a distributed system.

Security - We are controlling the security of the database through the use of passwords, access control groups, and keeping the servers in a locked room. These measures will keep unwanted users from accessing the system. It will also control what

the authorized users are allowed to do within the system.

Disaster Recovery - We will be implementing a RAID 5 backup system. Full backups will be performed once a week, and

incremental backups each night.

Notes on System Implementation - We will be implementing Raid 1 on the database server.

http://codd.franklin.edu/~zimmer19/data_entry_view.cfm

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APPENDIX

LESSONS LEARNED

3.2 To make it easier for other readers to understand our ERD, we added a legend that clarifies the symbols we used.

We changed the naming attributes to match that of the book’s convention.

3.3 Removed the transitive relationships from the Account table by creating a separate table called ACCT_PLAN with a

PK of idPlan. Changed all SSN references to TIN in ADVISOR, CLIENT and Beneficiary tables. De-normalized our

database by creating a separate table for Zip Code, State, and City. The PK will be idZIP.

3.5 Creating the views and the report was very confusing.

3.6 The team worked really well together to get this section of the project working. The communication between

everyone made the project run very smoothly.

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PARTICIPATION

Assignment # Team members in

attendance

Recommended

Change(s)

Change(s) made Location of minutes

(i.e. chat room,

document, etc.)

3-1-1 All members of the

team were in

attendance

A recommended

change was to move

the patriot act table

into the client table

since it was a 1:1

relationship

Chris moved the

patriot act table into

the client table. Parts

of the business rules

and summary wording

were modified.

Meetings were held in

Franklin live on

01/15/13,01/21/13,01/26/13

and 01/28/13 in classroom

chat


team were in

attendance

The reviewers

suggested that a

legend be added to

the ERD.

Chris added the legend

to the ERD. Decided to

make the legend

floating. Stacy created

the floating legend.

Cheryl added it to the

document. Cheryl

made changes to the

documents.

Meeting was held on

classroom chat and through

email on 2/11/13.


team were in

attendance

Removed the

transitive relationships

from the Account table

by creating a separate

table called

ACCT_PLAN with a PK

of idPlan. Changed all

SSN references to TIN

in ADVISOR, CLIENT

and Beneficiary tables. De-normalized our

database by creating a

separate table for Zip

Code, State, and City.

The PK will be idZIP

Chris made changes to

the ERD. Stacy worked

on the Normalization.

Don worked on our

data dictionary. Cheryl

added all new

documents and made

changes to the

documents.

Meetings held 2/19/13 and

2/20/13 on Franklin Live.


team were in

attendance

We expanded on the

descs for benefits, and

denormalization. We

also moved the Zip

table up into

normalization section.

We moved the

participation and

critique forms to end

of document. We also

created an appendix

section.

Stacy and Cheryl

discussed the other

group’s critique. We

made the changes we

felt were necessary.

Meeting on 3/4/13 and

through email.

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team were in

attendance

N/A Chris inputted all the

SQL segments. Stacy

created the Queries.

Don created the Table

Contents. Cheryl

created the views and

the sample data.

Meeting on 3/13/13,

3/25/13, 3/27/13 and

through email


team were in

attendance

N/A Cheryl – Updated the doc with links and screenshots

of coldfusion

Stacy - Tables - Create each page for the tables.

Don - Views - Create

pages for each of the

views we created.

Chris – helped the team

with questions that came

up.

Meetings 4/3/13,

4/5/13, 4/8/13 and

4/10/13 and through

emails

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CRITIQUE FORM

Critique Form: Assignment 3-3-3

Critiqued By: Team Members of the Project Reviewed:

Josh Smith

Theresa Richwine

Carly Albert

Todd Kearney

Stacy Zimmerman

Cheryl Caton

Chris Coe

Donald Ruppert

Project Name: FMC Centralized Database System

Did the team provide a description of their database architecture and an explanation of why?

Yes, they did provide the type of database and a brief reason.

Did the team provide data types and descriptions that were clear?

Yes. They have a very extensive table that explains the attributes, the table, contents, type, range, whether or not it is

required, the type of key, and the referenced table. The only thing that might be good to included and think about

would be an index.

Did the team provide a normalization diagram?

Yes, they provided a very detailed normalization diagram. However, it appears that they might have started with the

crow’s foot model and broke it down farther instead of starting with the pulling all attributes into one big relation to

start.

Did the team provide a discussion about denormalizing their database design?

Comment [Z1]: Should we be more indepth?

Comment [Z2]: I started with all the attributes for each table. Showing their dependency relationships, and then eliminating the partial dependencies. Should this be changed?

Comment [Z3]: After going back and re-reading about denormalization, I think the other groups comment would be right. Changing it would be normalizing. If we would have left it it would have been de-normalizing, and required extra effort for data entry.

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We are not sure that what they said was denormalization is actually denormalization. Denormalization would have

been to keep the zip and city in the tables and have them repeat instead of breaking them out into a separate table and

have them referenced by the other tables. By breaking the zip code out, it is actually normalizing the database further.

Did the team provide a description of the benefits of the system?

Yes, they provided a short explanation.

Any other comments:

The team had all the necessary requirement. They did an excellent job of communicating the attributes. And their

table was very detailed. Their normalization diagrams were very detailed and well labeled but the beginning step of

listing all attributes in one relation might have been missed. Another concern we had was the statement about

denormalization. Otherwise it was overall a great draft.

Comment [Z4]: Again should we be more in depth?