Help clients open new accounts minus all of the paper.

Transcription

1 Help clients open new accounts minus all of the paper. Introducing easy enrollment in paperless delivery. As part of our ongoing effort to provide you and your clients with a more convenient, seamless experience, we simplified the process of signing up for paperless agreements and disclosures, as well as ongoing statements, confirms, and other materials. To understand how these changes affect different types of clients, this guide provides an easy-to-navigate walkthrough of the experience. You can explore each of these in order, or simply click on the box to jump to the relevant section. I m opening a new account for a client who... is enrolled in paperless documents is not enrolled in paperless documents is new to Schwab 1. Complete account form 2. Receive confirmation 1. Complete account form 2. Click to confirm 3. Visit Schwab Alliance 1. Complete account form 2. Click to confirm 3. Sign up for Schwab Alliance

2 Enrolled in paperless documents When these clients complete the updated account application form, they will automatically be enrolled in all paperless delivery options for their new accounts. Clients still have the option of choosing paper-based document delivery, by checking the No box in the Paperless Documents section of the form Click image to view Simply ensure that clients do not check the No box highlighted above, and they will be automatically enrolled in paperless delivery. And that s it no further action is required. Clients will receive a notification via confirming their enrollment, and providing links to the relevant agreements and disclosures. 2

3 Not enrolled in paperless documents Clients complete the updated account form, receive an , and click through to complete the process Click image to view 3. Click image to view 4. Clients have now elected to receive the account s agreements and disclosures electronically, along with confirmations and shareholder materials. They reach a landing page that confirms this information. Clients can then log in to Schwab Alliance, where they can activate their account access, if needed, and enroll in paperless delivery of statements and tax documents. Simply ensure that clients do not check the No box highlighted above, to begin the paperless delivery process. Clients open the and click the Consent button to proceed. 3

4 New to Schwab Clients complete the updated account form, receive an , click through to confirm, and then enroll in Schwab Alliance Click image to view 3. Click image to view 4. Clients have now elected to receive the account s agreements and disclosures electronically, along with confirmations and shareholder materials. They reach a landing page that confirms this information. From here, clients sign up for Schwab Alliance. During that process, they can sign up for paperless delivery of statements and tax forms. We recommend that advisors initiate the signup process from Schwab Advisor Center. Simply ensure that clients do not check the No box highlighted above, to begin the paperless delivery process. Clients open the and click the Consent button to proceed. 4

5 Frequently asked questions 1. What if my clients who receive an with an I Consent button don t click it within 48 hours? If your clients do not click within that timeframe, Schwab will send paper versions of the agreements and disclosures. Clients can still click the button after 48 hours to complete the process and receive future documentation electronically. 2. Will my clients receive any other s associated with paperless document delivery? Yes. After one week, if your client has any accounts (new or existing) that are not enrolled in paperless delivery, he or she will receive a follow-up How does this process accommodate advisors who want to help their clients set up their schwaballiance.com login IDs? If the client receives the ead and consents, but is not yet set up on schwaballiance.com, we display a confirmation screen noting that the client can contact their advisor for assistance in setting up their login ID, and recommending this approach as the easiest way to get online access. 5

6 Return > Sample: Enrolled in paperless documents 6

7 Return > Sample: Not enrolled in paperless documents 7

8 Return > Sample: Not enrolled in paperless documents landing page 8

9 Return > Sample: New to Schwab client 9

10 Return > Sample: New to Schwab landing page 10

11 Important disclosures This material is for institutional investor use only. This material may not be forwarded or made available, in part or in whole, to any party that is not an institutional investor. Schwab Advisor Services serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned by, affiliated with or supervised by Schwab Charles Schwab & Co., Inc.( Schwab ). All rights reserved. Member SIPC ( (0915-7Y9B)