Account Documents

This page will provide you with helpful information about account documentation at Schwab. Click on a link below to view a specific article.

Introduction to submitting client documents
To open and maintain client accounts, Schwab requires specific forms, applications, and supporting documents. By following certain requirements and choosing certain options for submissions, advisors can avoid processing delays when submitting documentation to Schwab.

Introduction to issuer communications
Your clients may receive issuer communications, which include proxy ballots, corporate actions materials, and interim mailings, such as prospectuses, annual and quarterly reports, and any other materials that do not require a follow-up.

Introduction to paperless documents
Paperless documents offer electronic document delivery instead of by mail. Paperless document categories include Statements & Account Documents, Trade Confirmations Shareholder Materials, and Tax Forms (e1099 composites and 5498).

How to set up clients with paperless documents
Your clients can elect to receive paperless documents, including electronic agreements & disclosures, during the account opening process, or you can initiate the enrollment process for your clients at any time.

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