Onboarding Steps
- Please complete the New Advisor Questionnaire (attached near the bottom of this article) and send it to yourria@schwab.com and CC: agatha.beckett@schwab.com
- Note: these emails are ONLY for onboarding purposes. If you have service or technology related questions, please reach out to us or call Schwab at 877-774-3892.
- Note: In your email to Schwab, please include this statement. "I will also need a secondary master number created for use with XY Investment Solutions as TAMP."
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Once the questionnaire is received, you will be sent onboarding documents via DocuSign.
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It will take approximately two weeks to complete the onboarding process, assuming all paperwork is in good order.
- When your onboarding is complete at Schwab, please send us the TAMP Master they created for you and we will proceed with XYIS onboarding.
Notes on Onboarding Forms
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All forms will need to be signed by an authorized control person of the firm.
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Listed in Schedule A of the ADV Part I.
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If you have made a recent change to your forms ADV I, Part IIA & Part IIB Supplements (for all applicable individuals), and those changes are not yet available to the public, please provide them to Schwab. You can access these via the SEC website.