Open New Account(s) or Link Existing Account(s)
Use this form to provide all details of new accounts to be opened or linked. 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's Digital Workflow (DWF) for signature. A Wealthbox task will 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.
Advisor Email
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Your Client's 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
What is the name of the company and trading symbol?
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Name of Company
Trading Symbol
Is there an additional client?
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Yes
No
Your Additional Client's Name
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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?
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Yes
No
What is the additional client's 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?
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Yes
No
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
Please detail the agreement terms. An agreement must be on file prior to new account paperwork being sent out via DWF:
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New Account Information
Do you need to open new account(s) or link existing account(s)? Please select all that apply:
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Open new account(s)
Link existing Schwab account(s) (LPOA)
What type of account(s) would you like to open? To add multiple accounts, click "+ Add Account".
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What is the purpose of the account(s)?
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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
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
Link Existing Schwab Account(s)
Add Investment Advisor authority to existing Schwab account(s) via LPOA
What account(s) would you like to link? To add multiple accounts, click "+ Add LPOA".
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Additional Information
Please provide details for transfers, beneficiaries, or MoneyLinks in the sections below
Transfers
Do you need to add transfer info?
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Yes
No
Please enter transfer information below. To add multiple transfers, click "+ Add TOA".
Beneficiaries
Do you need to add beneficiary info?
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Yes
No
Please enter beneficiary information below. To add additional beneficiaries, click "+ Add Beneficiary".
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MoneyLink
Do you need to set up MoneyLink / standing instructions?
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Yes, I'll provide now
Yes, client will provide at signing
No
Please enter MoneyLink information below. To add multiple MoneyLinks, click "+ Add MoneyLink".
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Special Instructions
Anything else we need to know to process this request?
Submit
Should be Empty: