How to work with alerts

For help with navigating the challenges during this pandemic, go to the COVID-19 Resource Hub.

Schwab uses alerts—notices that range from trading information to missing documentation—to keep you up to date on your client's accounts. These notices may be either informational, such as a change to a bond's credit status, or require immediate action, such as a sellout. To view a list of all alert categories, see Introduction to alerts.

You can customize the alerts you receive, take action on alerts, and archive alerts that have been viewed or resolved.

To start working with alerts, you will need the following:

  • Read data access Tooltip  and Access Alert Search Tooltip  security functions

 

    This process may be used to subscribe to alerts on Schwab Advisor Center®.

    1. Go to the Accounts section at Schwab Advisor Center.
    2. Click Alerts and then click Settings.
    3. Select the check box(es) for the alert type(s) and/or subjects to receive via website, email, or both. 
      Note: Alert copies are not eligible for email.
    4. If you choose to receive email notifications for new alerts, select Immediate or Daily under Frequency of Email.
    5. Click Save.

    Although most alerts are informational, some require your attention. This process may be used to respond to applicable alerts on Schwab Advisor Center.

    1. Go to the Accounts section at Schwab Advisor Center.  Click Alerts, use any filter option to search for a specific alert.
    2. Open an alert displaying  (Action Needed) by clicking anywhere in the row.
    3. For a description of the alert, review the Details section. Specific/critical account information may be highlighted in red.
    4. If a response is required for the alert, enter the requested information in the text box, and then click Reply

    A corporate action alert is sent to your firm whenever a voluntary corporate action affects a position held in one of your master accounts. This process may be used to respond to corporate action alerts on Schwab Advisor Center.

    1. Go to the Accounts section at Schwab Advisor Center. Click Alerts, select Corporate Action in the Type drop-down list. Open the appropriate corporate action alert.
    2. The alert shows the number of accounts eligible to participate in the offering under that master. If electronic submissions of instructions are permitted for the corporate action, select View Offer Terms to review the details of the corporate action offer.
    3. On the Offer Terms window, review the information for the corporate action. To access the Corporate Actions Instructions page in the Corporate Actions tool (containing a list of client accounts eligible to participate in the offering), click Continue to Corporate Action.
    4. If this button is not available, the offer does not allow online submission and instructions should be called in to the Reorganization Hotline at 877-762-6446 or the corporate action has already reached the Schwab cutoff date.
    5. Use the search criteria to filter the list of accounts. Review the instructions for each account and then enter your election options. Select View Terms and Submit.
    6. Repeat these steps for each master account affected by the corporate action.

    This process may be used to manually archive alerts on Schwab Advisor Center.

    1. Go to the Accounts section at Schwab Advisor Center, then click Alerts.
    2. There are two ways to archive an alert:
      • From the alerts list—Select one, multiple, or all alert(s) from the list using the checkboxes on the left, and then click Archive.
      • From Alert Details—After reviewing the alert information, click Archive in the dropdown menu.
    3. Once an alert has been archived, you cannot move it out of the archived state. You can view archived alerts by selecting the option in the filters.

    By default, alerts are published to the FA master account or the original master account that triggered the alert (if the original master account was not the FA master). Alert subjects eligible for copies are included in the default view.

    Under Filter Options, change the view under Current/Archived Alerts to change the filtered results.

      Once you have submitted your request: 

      • You will start to receive alerts on Schwab Advisor Center and, if applicable, via email.
      • Keep up to date with the latest messages by reading them daily, responding, and archiving them. 
      • The Offer Terms page for a corporate action will be removed from the website 30 days after the expiration date of a corporate action offering, even if the alert has not been archived.
      • If you have questions about working with alerts, call your service team.

      Why am I getting a "Request to view alert is invalid" message?
      You may not have Read data access Tooltip  to the master account. Have your firm security administrator add this security function for the particular master.

       

      Why don't I see the Alerts tab on my Accounts page?
      You need to have the Access Alert Search Tooltip  security function for the user group that you are in. Contact your firm security administrator to provide you with access.

       

      Why am I not getting any alerts for my master account?

      • For an FA Master, confirm you:
        • Are under the correct master account
        • Set the Type field drop-down menu to view All Customizable Alert Types
        • Are sorting by the correct column or date
      • For an SL Master:
        • Be aware most alerts go to the firm's FA Master

      Why isn't the client's name showing on the alerts list?

      Alerts are either sub account or master based alerts.

      • For a sub account alert, you will see the client details in the alerts list and the Alert Details header.
      • For a master account alert, after opening it, you will see the client details in the body. Master account alerts may contain no accounts, one account, or a list of accounts with the account details in the body of the message.

      Why do some alerts have Case IDs?
      A Case ID is associated with any action-required alert message for Transfer of Account, Open New Account, etc. The Case ID is the Schwab identifier associated with the message, and should be included on any further correspondence requested from this alert.

      How to add features to an account

      How to close or delink accounts

      How to convert accounts

      How to customize Schwab reporting

      How to make changes to organization accounts

      How to make general account changes

      Introduction to alerts

      Introduction to the Corporate Actions tool

      Introduction to the Move Money tool

      Introduction to the Activity Tab on Schwab Advisor Center®