Introduction to alerts

Introduction to alerts

Schwab uses alerts—notices that range from trading information to missing documentation—to keep you up to date on your clients' accounts. Most of these notices are informational, such as a change to a bond's credit status, but some require immediate action, such as a sellout. You can view alerts on Schwab Advisor Center® and receive email notifications regarding new alerts.

Key features related to alerts:

  • Extend alerts functionality to SL and BT masters.
  • Get instant, secure communications about time-sensitive issues.
  • Receive critical account maintenance and management notifications.
  • Interact directly with Schwab on Action Needed alerts. Identified by Stop icon.
  • Identify urgent alerts by Alert iconto the left of the Alert subject.
  • Customize the alerts you wish to receive by type and subject, including frequency and delivery.
  • Download data to a comma-delimited file.
  • Filter alerts by any column in the body of the alert (search, type and subject, date, etc.).
  • Archive any or all alerts for future reference.
  • Sort the display of alerts by a specific column such as Subject or Date.
  • View and manage alerts, if assigned Read data access Tooltip by your firm security administrator (FSA).
  • Configure sharing of alerts with other linked master accounts (FSA access only)
  • Choose how often you wish to receive email notifications of new alerts:
    • Immediately: Generates one email per alert as the alert is created
    • Once daily: Generated and sent at the end of each business day with all alert information

The Alerts tab is the central repository for all your active alerts. Using this page, you can view your active alerts or get access to additional functions such as searching archived alerts. This customizable page is the fastest and most efficient way to manage your alerts, both active and archived.

The Alerts tab offers you flexibility to suit your work style. See How to work with alerts for more information.

Areas on the Alerts tab:
Filter options The landing page for the Alerts tab has the filter options set to show all non-archived alerts for the current day. The filter options can be easily adjusted by making the desired filter selections. To reset the defaults, select Reset Filters.
Alerts list The alerts list provides listings of all your active alerts based on your customization settings. Messages that have not been read appear within a gray background.

The alerts action buttons contain message counts for all alerts:
  • All
  • Unread
  • Action Needed
  • Urgent

An Alert can be counted multiple times. For example, an alert may be counted as both unread and urgent. Action buttons can be used to quickly filter your results.

Areas on the Overview tab:
Alerts Card The Alerts card allows you to quickly view Alerts by:
  • Relevance
    • All
    • Unread
    • Action Needed
    • Urgent
  • Alert Type (The top 10 most common Alert Types are displayed here)
    • Account Change
    • Client Initiated
    • Cost Basis
    • Deposits & Withdrawals
    • eSignature
    • Message from Schwab Team
    • Move Money
    • New Account
    • TOA
    • Trading

To view specific Alert details, click directly on an Alert to view the details.

To navigate directly from the main Alerts pages from Overview, click View All on Alerts Page.


Sorting alerts

The default sort for the alerts list is by creation time with the most recently generated alert at the top of the list. The list may be re-sorted by any column heading with the exception of the Archive column. The new sort order will remain until you make a change. To sort a large number of alerts, click:

  • Stop icon(Action Needed) in the header to quickly find items needing your attention
  • Alert icon(Urgent) in the header to find items requiring immediate attention.

Exporting alerts data

You may export all current and archived alerts data in a comma-delimited file. Click the Export link and save the file to the desired location.


Alert copies

The following list of alerts will be copied to all SL and BT masters:

Alert Type Alert Subject
Account Change Notice of Closed Account
Account Change Notice of De-Linked Account
Account Change Notice of Restricted Account
Account Change Notice of Restricted Account Lifted
Deposits/Withdrawals Incoming Deposits
Money Movement MoneyLink/Bank ETF Instructions Initiated
Money Movement NSF ACH Debit - Schwab One
Money Movement NSF Check - Schwab One
Money Movement Reg E Foreign Wire Pre-payment Disclosure
Money Movement Returned Check
Money Movement Wire Request Cancelled
Money Movement Wire Request Completed
New Account Pending D Restriction-10 days
Prime Broker Client Eligibility Issue
Prime Broker Schedule A Approved
Prime Broker Trade Allocation Issue
TradeAway Trade Allocation Issue
Trading Bid Request Ready - Client Account
Trading SEC Rule22c-2 Trading Information Cancellation
Trading SEC Rule22c-2 Trading Information Request
Transfer of Assets Notice of Assets Transferring Out
Transfer of Assets Residual Transfer
Transfer of Assets Transfer Complete

Schwab offers more than 100 different alert types and subjects you may receive. To see a summary of the alert subjects, hover over an alert type category (or click Money Movement) below.

 

* Corporate action alerts are not sent for mutual funds.

Why don't I see the Alerts tab?
Your FSA needs to add the security function Access Alert Search to the user group of which you are a member.

How can I control which alerts I receive?
You can customize the alerts in your view by first clicking the Alerts tab, then by clicking Settings, where you can then check off the boxes for the alert types and subjects that you wish to see on the website or receive via email.

When I received an alert via email and tried to view it, why did that alert not appear in my list on Schwab Advisor Center?
The alert may have possibly been viewed and archived already by another user in your firm. Switch to the Archived view to see if the alert appears there.

Why are alerts not coming to my email address?
Verify that your personal profile has your current email address.

Why am I unable to find an alert using search?
Enhanced search allows you to find requests by account name, account number, or keywords with a few keystrokes within the returned results.

Can I get an alert on the status of restricted stock processing?
There are currently no alerts for restricted stock. The Schwab Advisor Services™ Restricted Stock Team actively stays in contact with advisors and calls with updates as the transactions proceed.

Will an alert be generated to indicate when a portfolio is not in line with a model or allocation?
At this time, Portfolio Rebalancer does not offer the ability to generate alerts if a portfolio is out of line with a model or allocation. However, Portfolio Rebalancer's Drift Report can provide a comprehensive view as to whether a portfolio—or series of portfolios—has drifted from the intended weights. See Introduction to Portfolio Rebalancer for more information.

Are alert copies available via email?
At this time, alert copies are available on the website only.

Are all alerts provided as copies?
Not all alerts are available for a SL or BT master to receive a copy. View a list of available alerts in the "Alert copies" section of this page.

Why don't I see alerts on my Overview page?
Overview alerts card provides a limited view of the top 10 alert types. Review the Alerts page to find all of your alerts.

How to work with alerts
Introduction to cost basis reporting
Introduction to the Corporate Actions tool
Introduction to Portfolio Rebalancer

The Schwab Advisor Center Dashboard gives you an at-a-glance view of the most important information you need to start your day. To assist you with the dashboard, see Help with the Schwab Advisor Center® Dashboard.