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Schwab: they are a-changin'

Robin

Created on September 24, 2025

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Transcript

Schwab: they are a-changin'

What's New?

  • New Move Money on Schwab Advisor Center
  • Tax withholding updates without client signatures
  • Adding Nicknames to Schwab accounts

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Advisors Own DocuSign

WHAT'S NEW?

Combines Keen forms with Schwab forms all in one envelope

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WHAT'S NEW?

Schwab charitable distributions

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Resources

FOR CLIENTS

WHAT'S NEW?

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things to consider

  • Schwab Statement Options
  • AI Advancements

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AI:

The new frontier of innovation

AI · AI · AI · AI · AI· AI · AI· AI · AI · AI · AI · AI · AI · AI · AI · AI · AI· AI · AI· AI · AI · AI · AI · AI · AI · AI · AI · AI · AI · AI

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GUESS THE DATE

2000

1976

1988

2019

International Organization for Standardization: A global, non-governmental body composed of national standards bodies that publishes international standards.

Public Key Cryptography

Legal recognition of esign in the US. Signed by Bill Clinton on 6/30/2000.

Keen was one of the first firms to utilize Schwab DocuSign in 2019.

Birth of digital signature concept

grants legal status of electronic signatures

ISO begins developing standards

Schwab starts using docusign

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Paperwork Errors

3%

17%

21%

Digital Onboarding

DocuSign

Paper requests

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Question

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IN-PERSON ONBOARDING

Best Fit:

  • When clients do not have a cell phone
  • When we are doing 1-2 forms

Best Fit:

  • When we are opening several accounts in person

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bottlenecks in onboarding

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * *

Missing information

Not asking paperwork preference

Nickname vs Legal Name

Existing Schwab Profile

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Client Services request templates

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Meet Tom & Charlotte Test. They are excited to sign on with Keen!!

Let's review some sample requests

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Things to remember

  • Clarify CS role to new & existing clients.
  • Always ask for paperwork preference
  • CS can't reset Schwab logins
  • Send follow up requests to the same CSA
  • Consider setting up trading or view authority for couples
  • Consider discussing investment model before funding

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Any Questions?

Thank you

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