TABLE OF CONTENTS 8 Overview Flexible Workflow Options Getting Started With Laser App Keys to Success
Overview Schwab s integrated suite of tools can save you time and simplify completion of forms and applications. The process includes two main features: A consolidated, easy-to-use Forms & Applications page on Schwab Advisor Center Integration with Laser App, an industry-leading desktop software package for filling out forms The Forms & Applications page on Schwab Advisor Center helps you find forms quickly. Then you can use Laser App to leverage client data from your customer relationship management (CRM) system or from Schwab Advisor Center to pre-populate forms and applications. You can even reserve account numbers for any of the 9 registrations found on the Schwab One Personal & Trust and the IRA account applications right from the form in Laser App. Benefits Streamlines Completion and Submission of Account Paperwork Leverages existing client data from your CRM system or Schwab Advisor Center Validates account applications before you submit them, reducing errors Enables you to reserve account numbers online for 9 registrations Supports a Flexible Workflow So You Can Work the Way You Want Lets you use the best data source for the given task, whether it s your CRM system or Schwab Advisor Center Allows you to stop and save your work at any point in the process Supports division of tasks among multiple individuals at your firm As part of this integrated process, Schwab will provide your firm with a Laser App license at no charge. To help ensure that you are well prepared to begin using Laser App, Schwab will also provide you with two years of direct service support from Laser App at no charge. Opportunities to Learn More Look for more information and opportunities for additional training on Schwab Advisor Center. Check What s New for a quick review of new features. Select News & Resources to access Forms & Applications and Online Account Open information. Attend an introductory webcast or watch an archived webcast. Access free training sessions and materials in the Support section of Laser App s website, laserapp.com. Makes It Easy to Find the Forms You Need Bundles forms into convenient packages, making them easier to find and faster to complete Makes sure you re using the most up-to-date documents by keeping a current library of the most widely used account applications and forms
Flexible Workflow Options The Forms & Applications tools were designed to provide you with maximum flexibility so you can use the components that best fit your task, your data, and your firm. Select the approach that meets your needs Completing day-to-day paperwork Opening new accounts for existing clients Opening accounts for new clients Open and complete PDFs on Schwab Advisor Center. Open and complete new account packages in Laser App from Schwab Advisor Center or your CRM. Open and complete new account packages in Laser App from your CRM. page page 4 page 7 WORKFLOW WORKFLOW WORKFLOW
Completing Day-to-Day Paperwork Using Schwab Advisor Center When you need to quickly fill out a form or print one for your client to complete, you can open any Schwab form as a PDF from the Forms & Applications page. Forms & Applications Features Full scrolling page gives you plenty of workspace. Find forms quickly by using the category filter or searching by title. 4 5 4 Choose a list of Favorites for easy access. Open forms in PDF by clicking the form name. 6 5 Check asset transferability. 6 If you haven't yet begun using Laser App, click "Applications" to access the original Online Account Open wizards. WORKFLOW : COMPLETING DAY-TO-DAY PAPERWORK
Opening New Accounts for Existing Clients If you d like to use data from Schwab Advisor Center to complete an account application and any additional forms, access the Forms & Applications page, select the forms and the clients you need, and then open them in Laser App. Once you ve completed the application, submit it to Schwab from Laser App on your desktop to reserve an account number. Step : Access Forms & Applications. Select a package of forms, which allows you to complete related forms in a single group. Select your master account to automatically populate the firm name, master account, and service team. Select up to six existing clients to automatically populate the forms. WORKFLOW : OPENING NEW ACCOUNTS FOR EXISTING CLIENTS 4
Opening New Accounts for Existing Clients, Continued Step : Complete the application in Laser App. Note that the following are auto-populated on the application and related forms: --Firm name --Master account --Service team --Primary account holder Click Insert to pull in additional accountholder data from your CRM to other areas of the application or related forms. Complete any additional data manually in fields that aren t populated by CRM information. Save the partially completed application and the related forms for later completion. WORKFLOW : OPENING NEW ACCOUNTS FOR EXISTING CLIENTS 5
Opening New Accounts for Existing Clients, Continued Step : Validate and submit the application. Click Post Form to reserve an account number (that is, open an account online). Use the rich error messaging to help you quickly resolve any issues with your account application data. After you correct any errors and resubmit, the program will generate an account and display a new account number. WORKFLOW : OPENING NEW ACCOUNTS FOR EXISTING CLIENTS 6
Opening Accounts for New Clients To use data from your CRM system or Microsoft Outlook to complete one or more forms: Find the client in your CRM system or Outlook. Click Launch Laser App or Send to Laser App." Laser App will open on your desktop, with the selected client s information available. Open a form or form package. Note that the primary client's information is pre-populated on the form. You can populate additional related clients' information using Laser App's Insert buttons. Once you ve completed the application, click Validate and Submit to reserve an account number at Schwab. WORKFLOW : OPENING ACCOUNTS FOR NEW CLIENTS 7
Getting Started With Laser App To start using Schwab s integrated forms and applications tools, you ll need: An activation code for Laser App Laser App software installed on your desktop Schwab s Trusted Web Applications, which allow you to communicate with Schwab from Laser App on your desktop Step : Click Get Started and set up Laser App on the Schwab Advisor Center Forms & Applications page. The wizard will walk you through the steps to get the three items listed earlier. Step : Indicate whether you already have Laser App installed on your desktop. 8
Getting Started With Laser App, Continued Step : If you don t have Laser App installed but you do have an activation code: Note your firm's activation code. Download Laser App from the Laser App website. Download Schwab's Trusted Web Applications to begin submitting new accounts. 9
Getting Started With Laser App, Continued If you don t have Laser App installed or an activation code but you are the firm s security administrator: You can request an activation code. You ll receive the activation code via email, with instructions on how to install Laser App on your desktop. Your activation code will be posted for your colleagues, along with the next steps, on Schwab Advisor Center. If you have Laser App installed, you will be given access to download the Trusted Web Applications you ll use to communicate with Schwab, using Laser App on your desktop. 0
Keys to Success Learn the Laser App basics before you get started. Attend a Laser App training session to learn more. Training sessions and materials are available free of charge in the Support section of Laser App s website, laserapp.com. Before opening an account, choose your data source: CRM system or Schwab Advisor Center. If off-the-shelf integration is available from your CRM system to Laser App, start the process on your CRM system. New capabilities are always being evaluated, so if you don t see your CRM system on the Laser App partner webpage, contact us at comment.si@schwab.com. Even if you have a highly customized CRM system, Laser App has tools to help you create your own integration. For a lower-tech approach, you can export client records from your CRM system and then import them into Laser App using a CSV file. Make sure you finalize the account. Remember that validating and submitting an application simply reserves an account number. Although the account is stored in Schwab s systems, it won t be available to fund until you submit a signed account application. If your client updates information on the account application after you ve reserved the account number (e.g., changes the cash feature selection), you can often still use the account number. Contact your service team for specific information about acceptable changes. Make the most of Schwab s resources to learn about new tools. Get tips from your service team and Schwab s technical client services group. Take a Schwab Advisor University class. Attend an introductory webcast or watch an archived webcast. Review the News & Resources and Help sections on Schwab Advisor Center. For institutional audiences only. Screenshots are for illustrative purposes only. This guide is for educational purposes only. It is designed to educate investment advisors ( advisors ) on the use of various research and trading tools available on the website. As such, some of the slides in this guide have been abridged, and do not necessarily reflect all the content available on a particular page of the website. Below are important disclosures that should be considered when using these tools. The information and disclosures can be accessed at schwabadvisorcenter.com, or by contacting the Schwab Advisor Services Team. Both real and fictional securities are listed in the presentation. Securities reflected in the presentation are for educational purposes only and are not, nor should they be construed as, recommendations to buy, sell, or continue to hold any investment nor do the accounts listed reflect individual securities accounts or holdings. Individual names, account numbers, and contact information listed in this presentation are fictional and not intended to reflect any existing individuals. Any similarity to an existing individual or account is purely coincidental. Third-party firms are not affiliated with or an employee of Schwab. Laser App Software Inc., is not affiliated with Charles Schwab & Co., Inc. ( Schwab ). Outlook is a registered trademark of Microsoft Corporation. Schwab Advisor Services serves independent investment advisors and includes the custody, trading, and support services of Schwab. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab. 0 Charles Schwab & Co., Inc. ( Schwab ). All rights reserved. Member SIPC. AHA (-8006)