Schweopardy

ToS/Misc

100

A clients dividend was not paid to their Schwab account after/during the transition. Why did this happen and what is the fix?

1. The dividend is paid to the account the stock was in on the record date.

2. It will be paid to the TDA account and swept over to Schwab

200

This will happen with paperMoney positions and history post-transition

These will not move to Schwab

300

This will happen with ToS settings at TDA after tranisition to Schwab

What is ToS settings and alerts will be transitioned

400

Clients can restore a lost workspace/layout by following this process

1. Close TOS.
2. Open TOS, but don’t login.
3. Click the gear at the bottom of the login screen.
4. Click the small clock icon in the lower-left of this screen.
5. Select a previous date and click Save.
6. Login to TOS.

500

This process is used to log into ToS for the first time post transition

1. Upon opening TDA TOS, client clicks on the “gear” icon on lower right of screen.
   • Mobile users will see Switch login button at the top of the screen.
2. From the Account dropdown, client selects “Schwab.”
3. The screen will then change to Schwab thinkorswim.
4. Client enters their Schwab credentials.
5. Schwab thinkorswim Terms and Conditions will appear. After accepting, client will have access to Schwab thinkorswim.

Authorities

100

If a client had "Account Inquiry" access at TDA, they will have this access at Schwab

What is NONE

200

If a client had LTA access at TDA, they will have this access at Schwab

What is LTA

300

If a client had FTA access at TDA, they will have this access at Schwab

What is LTA

400

If a client had POA at TDA and they want to change the address at Schwab they will have to do this.

What is have the account owner call in to update the address.

500

This is the only difference between FTA at Schwab and TDA

What is moving money/securities to third party accounts

Merging Cust IDs

100

This item cannot be updated by unlicensed professionals

What is suitability

200

Methods to add or update Mother's Maiden Name are

What is Verbal to add and LOA to change

300

This form is used to update SSN

What is W-9

400

These steps must be taken to change a name for 

1. true update

2. Schwab error

1. What is Change legal name form and birth certificate

2. What is call Transition Specialist

500

These 7 of the "Prime 9" can be changed verbally

What is 

1. Title

2. Employment

3. House number

4. Address

5. Zip Code

6. Email

7. Phone number

Platform of Choice

100

The platform of choice for equity and index options

What is ToS desktop, web, mobile

200

The platform you can use to purchase mutual funds

What is Schwab.com or mobile app

300

The platform for Futures and Forex

What is ToS desktop, web, or mobile

400

The three platforms that allow screening

Schwab.com, ToS desktop, ToS Web

500

The operating system that does not allow ToS desktop

Linux

Streaming Quotes

100

Non professionals have access to real time quotes only on this part of Schwab.com

What is snap ticket

200

These platforms can be used for clients designating themselves as professionals or non-professionals

What are schwab.com and schwab mobile

300

When a client calls in and does not have streaming quotes, this is the process to turn them on

What is designate as professional or non-professional and then turn on via profile > streaming quotes

400

The delay for non-paying professional quotes is

15 minutes

500

For professionals, access to streaming quotes cost this monthly fee

$123.50