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Onboarding with Schwab

  • Updated

Please note that the instructions below are for firms joining the Schwab platform for the first time. Additional information will be coming soon regarding instructions for members on the platform or those wishing to transition from TD Ameritrade. Please contact us at support@xyinvestmentsolutions.com with questions or if you require a special exemption to onboard with Schwab.

 

Onboarding Steps

  1. 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."

  2. Once the questionnaire is received, you will be sent onboarding documents via DocuSign.

  3. It will take approximately two weeks to complete the onboarding process, assuming all paperwork is in good order.

  4. 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

  • All forms will need to be signed by an authorized control person of the firm.

    • Listed in Schedule A of the ADV Part I.

  • 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.

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