Advisor Update Request Form

Advisor Name

First NameLast Name

Advisor Email Address

example@example.com

What would you like to update?

New Firm Name (if applicable)

Upload New Firm Logo

Enter New Firm Address

Street Address

Street Address Line 2

CityState / ProvincePostal / Zip CodeCountry

Do you want this displayed on Schwab client statements?

Enter New Office Phone Number

Please enter a valid phone number.Format: (000) 000-0000.

Enter New Advisor Cell Phone Number

Please enter a valid phone number.Format: (000) 000-0000.

Please review Support Staff Policy Guide in Box to determine what level of access the new employee should have:

Support Staff and Access Policy

1. Unlicensed/Unregistered

a. Administrative Only

b. Supervised Person: Advisory Business Support

c. Access Person: Client Advice Access/Preparation Assistance

2. Licensed/Registered:

a. Advisory Representative: Registered and Affiliated with the RIA and able to

independently prepare, provide, and implement financial advice

Add Additional Employee(s)

Enter New Website URL

Enter New Social Media Account(s) (e.g. LinkedIn, Twitter, Facebook)

What is changing about your business that we can help with?

In addition to this form, please submit this request to Compliance via Hadrius:

Disclosures > Submit a New Disclosure > Select Disclosure Type:

What is being updated?	Disclosure Type
New Address	U4/ ADV 2B Update
Add an additional Employee	Support Staff Onboarding Information
New Website	Business Website Disclosure
New Social Media	Social Media Platform Disclosure

1099-NEC Update