Open a New Account
Use this form to provide all details of new accounts to be opened. If a Client Agreement is needed, Sapphire Support will send that out first and once signed, they will prepare and send forms to your client via Schwab Digital Workflow (DWF) for signature. A Wealthbox task will automatically be created for this request, where you’ll receive updates. If needed, upload any supporting documents either to the client's Box folder or attach to the Wealthbox task.
Form Last Updated 12/01/2025
Your Email
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Your Client Name
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First Name
Last Name
Is your client or their immediate family member associated with or employed by a stock exchange or FINRA, or a municipal securities broker-dealer?
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Yes
No
If yes, what is the company name? Note: a letter from the client's employer approving this account must be provided
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Company Name
Is your client a director, 10% shareholder or policy-making officer of a publicly traded company?
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Yes
No
If yes, what is the name of the company and trading symbol?
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Name of Company
Trading Symbol
Your Additional Client's Name
First Name
Last Name
Is the additional client or their immediate family member associated with or employed by a stock exchange or FINRA, or a municipal securities broker-dealer?
Yes
No
If yes, what is the company name? Note: a letter from the client's employer approving this account must be provided
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Company Name
Is the additional client a director, 10% shareholder or policy-making officer of a publicly traded company?
Yes
No
If the additional client is, what is the name of the company and trading symbol?
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Name of Company
Trading Symbol
Is a client agreement already on file?
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Yes
No
If no, please advise the agreement terms. An agreement must be on file prior to new account paperwork being sent out via DWF:
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What type of account(s) would you like to open? Please select all that apply.
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Individual
TOD
Joint Tenant With Right of Survivorship (JTWROS)
LPOA request (existing Schwab account)
Custodial (UTMA)
Revocable Trust
Irrevocable Trust
Traditional IRA
Rollover IRA
Roth IRA
Inherited Roth IRA
Inherited IRA
Other
What is the Source of Funds?
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Please Select
Family, relatives, inheritance
Gambling, lottery
Gifts
Investment capital gains
Other
Salary, wages, savings
Sale of property or business
Social security benefits
What is the Purpose of the Account?
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Please Select
General investing
Investing for college
Investing for estate planning
Investing for retirement
Investing for tax planning
Investing of pooled assets
Other
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Please enter the number of Individual accounts you'd like to open.
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Please enter the number of TOD accounts you'd like to open.
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Please enter the number of JTWROS accounts you'd like to open.
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Please enter the number of Custodial (UTMA) accounts you'd like to open.
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Please enter the number of Revocable Trust accounts you'd like to open.
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Please enter the number of Irrevocable Trust accounts you'd like to open.
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Please enter the number of Traditional IRAs you'd like to open.
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Please enter the number of Roth IRAs you'd like to open.
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Please enter the number of Rollover IRAs you'd like to open.
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Please enter the number of Inherited IRAs you'd like to open.
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Please enter the number of Inherited Roth IRAs you'd like to open.
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Please enter the number of LPOA requests you'd like us to process.
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Please enter the number of other account type requests you'd like us to process. (We will likely follow up for more information if needed via the Wealthbox task)
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Beneficiary Information
Do you have beneficiary info? If so, we'll pre-fill it on the paperwork. If not, we'll leave it blank for the client to complete. Please note: this field can't be made required.
Yes
No
Please enter beneficiary information below. To add an additional beneficiary, click "+ Add Row".
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Would you like to add a Trusted Contact(s)
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Yes
No
Please provide Trusted Contact(s) Information:
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MoneyLink
Do you want to set up MoneyLink / standing bank instructions?
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Yes
No
Please enter bank information below for MoneyLink setup.
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Use this bank account for all new accounts being opened today?
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Yes
No
Please enter bank information below for MoneyLink setup.
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Incoming Transfers
Will this new account be funded with an incoming transfer from another firm (Transfer of Assets)?
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Yes
No
It will be funded by a rollover from a qualified plan (401k, 403b etc)
Because you are funding this via a rollover, we'll need a completed Rollover Analysis form. You can fill out the form via this link. http://bit.ly/4auVswt
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I've completed it.
Please list information below for any incoming transfers. Click "+ Add Row" and enter information if there are multiple incoming transfers.
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Is this a full or partial transfer?
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Full
Partial
Which holdings (and quantities) would you like to transfer in?
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We will refer to your account statement to confirm these holdings and contact you with any questions.
Are there any securities you would like held in the account (not traded), or other special instructions?
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We will confirm these instructions against your uploaded account statement.
Please provide any additional information you'd like included.
Submit
Should be Empty: