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| Welcome to Schwab | Retirement Plan Services | Stock Plan Services | Designated Brokerage | Third Party Administrators |
Designated Brokerage Services
Schwab Designated Brokerage Services is committed to meeting the high standards that compliance departments expect. With more than 15 years of experience and a roster of over 450 corporate clients, we are a market leader in providing employee trade surveillance technology solutions to financial firms.
We can provide your firm with industry-leading technology and tools to more efficiently monitor employees’ trading activity. Plus, with Schwab, your employees will have access to a full-suite of products and services that can help them achieve their financial goals.
Real-time account access for enhanced trade confirmation review process.
Our proprietary tools can help streamline employee trade surveillance, automate data-exchange and eliminate paper trade confirmations. Your firm may also take advantage of Trade Rules, our ground-breaking, web-based application that can prevent restricted trades in Schwab accounts*.
Our experienced team of dedicated professionals provides implementation, technology, operational and ongoing support and service.
As a leading financial services firm, we can offer your employees a full-suite of products and services to help them achieve their financial goals. Whether they want to manage their portfolios themselves or have it professionally managed for them, we offer competitive pricing, no account service fees, access to a dedicated service team and more.
* Rulesets enacted through Schwab Trade Rules will not be enforced in Schwab Personal Choice Retirement Accounts (PCRA). Rules enacted through Schwab Trade Rules will also not be enforced in discretionary accounts where an investment manager trades in a Schwab Master Account and allocates trades to your firm’s employee’s account(s).
Charles Schwab & Co., Inc. and Charles Schwab Bank are separate but affiliated companies and subsidiaries of The Charles Schwab Corporation. Brokerage products are offered by Charles Schwab & Co., Inc., Member SIPC. Deposit and lending products and services are offered by Charles Schwab Bank, Member FDIC and an Equal Housing Lender.
Schwab Designated Brokerage Services provides technology solutions for corporate clients with regulatory requirements to monitor employee security transactions.
To learn more, please contact a Client Development Officer at
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The Charles Schwab Corporation (Charles Schwab) provides services to retirement and other benefit plans and participants as well as equity compensation plan services and other financial and retirement services to corporations and executives through its separate but affiliated companies and subsidiaries, Schwab Retirement Plan Services, Inc.; The 401(k) Companies, Inc. and its subsidiaries; Charles Schwab Trust Company, a division of the Charles Schwab Bank; and Charles Schwab & Co., Inc. Brokerage products and services are offered by Charles Schwab & Co., Inc. (Member SIPC). Deposit and lending products and service are offered by Charles Schwab Bank, member FDIC and an Equal Housing Lender.