Charles Schwab: Stock Plan Services: Executive Services: Overview

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Premium solutions and personalized services for directors, officers and Section 16 affiliates

Schwab understands the unique and complex needs of senior executives. We can provide your executives with the tools and services they need to comply with regulations, understand complex benefits and incorporate benefits into their overall financial plan.

Schwab’s dedicated Section 16 Services Team

Schwab’s dedicated team of specially trained brokers delivers priority services and specialized strategies for the complex needs of busy executives and their financial advisors.

Directors, officers and Section 16 affiliates will have exclusive toll-free access to a dedicated team of equity compensation specialists who provide personal assistance on stock plan-related issues.

Who we are

Expert stock plan specialists and traders with extensive experience in the equity compensation industry
Specially trained in Rule 10b5-1 trading plans, large block trades, restricted stock and securities regulations
Dedicated to serving your top management and directors
Knowledgeable about the unique and complex needs of your plans and your executives
Not compensated by commission

Who we serve

Corporate executives, insiders, Section 16 Officers and directors
Financial advisors for executives
Corporate legal and administration teams for regulatory filings

What we do

Our Section 16 Services Team is a one-stop shop for your executives. We offer start-to-finish service, including:

Personalized service—brokers are individually assigned to executives
Guided account opening for executives, with courtesy calls to confirm enrollment
Personal outbound verification and notification calls to executives and company representatives
Streamlined paperwork processing
Strategy consultations
Trade executions of large positions and monitoring of trades
Regulatory filings—SEC insider reporting requirements
Distribution of proceeds
Specialized pricing for executive transactions

Co-Sourced Administration

Whether you choose to completely outsource your administration to Schwab or retain certain functions in-house, Schwab Co-Sourced Administration makes it easy to build the right solution for your company.