September 7, 2023

Will my current statement delivery preference (online or paper) remain the same?

Yes! Your current statement / confirmation preference will remain. When you login to Schwab Alliance you can change your preferences to online / paper at your convenience. Online statement delivery is quick, safe and secure. You will receive statements and confirmations (including tax documents) faster using the SchwabAlliance.com site rather than receiving documents via mail.

You must establish your SchwabAlliance credentials within 90 days of the transition in order to maintain your online / paperless statement preference. If you do not login within 90 days you will be converted to paper statements.

Account Verification Letter

On or around September 5, you will receive an Account Verification letter from Schwab. This letter will confirm and review the account data that was migrated from TD Ameritrade to Schwab. Please take time to review the contents of each letter. If any information is inaccurate or missing, please contact your Wealth Manager or Client Service Manager.

Will my view only permissions (spouse view only, etc.) that are currently established on AdvisorClient.com transfer over to SchwabAlliance.com?

No. The permissions will not transfer. You will be prompted to add “View Only” access to your accounts via a safe and secure digital workflow during your SchwabAlliance.com credential set-up.

* The opportunity to add “View Only” will not be available to access until after the September 5 conversion date.

Below please find instructions provided by Schwab to add “View Only” access to your accounts.

• Log in
• Profile (upper right)
• Account Access
• Give view only access (this is one of 3 choices)
• Select account you’d like the person to access
• Enter the person’s information: Full name, phone number, and email address
• Confirm information
• Agree & Submit

Instructions with screenshots located here.

Learn how to add an authorized user to Schwab Alliance | Charles Schwab

* These instructions are not viable on Schwab Mobile.

What statements will I see at Schwab Alliance once the merger is completed?

When you login to Schwab Alliance after the transition, you will be able to see:

• Up to 10 years of account statements
• 7 years of tax documents
• 2 years of trade confirmations
• Cost basis

Clients will receive both a TD Ameritrade and Schwab statement in October to report for September. Clients will then only receive a statement from Schwab.

Can I still login to TD Ameritrade and view my accounts / statements?

No. All account information and statement history can be found on Schwab Alliance.

Thank you for your patience throughout the TD Ameritrade and Schwab conversion! Your Annex team is here to assist and support you throughout the switch. Please contact your Annex Wealth Manager or Client Service Manager with any questions.

Thank you!

Annex Wealth Management

August 31, 2023

Will I be able to access my Black Diamond account over Labor Day Weekend? What will I see after September 5?

Clients can still access their Black Diamond accounts over Labor Day weekend and will see their current TD Ameritrade account numbers. After 8 a.m. Eastern on September 5, Black Diamond will be refreshed and clients will see their new Schwab account numbers. Clients may need to log out and log back in after the refresh to see the updated data. When you log into Black Diamond on September 5 or later, you will see your updated Schwab account numbers and all historical account data.

Will my view only permissions (spouse view only, etc.) that are currently established on AdvisorClient.com transfer over to SchwabAlliance.com?

No. The permissions will not transfer. You will be prompted to add “View Only” access to your accounts via a safe and secure digital workflow during your SchwabAlliance.com credential set-up.

* The opportunity to add “View Only” will not be available to access until after the September 5 conversion date.

Below please find instructions provided by Schwab to add “View Only” access to your accounts.

• • Log in
  • Profile (upper right)
  • Account Access
  • Give view only access (this is one of 3 choices)
  • Select account you’d like the person to access
  • Enter the person’s information: Full name, phone number, and email address
  • Confirm information
  • Agree & Submit

Learn how to add an authorized user to Schwab Alliance | Charles Schwab

* These instructions are not viable on Schwab Mobile.

How can I see my accounts online?

On or around August 1, you received a Key Information Packet in the mail for each financial account that will transition to Charles Schwab. Included in the Information Packet were instructions to establish your login credentials for Schwab Alliance. Please follow those instructions and establish your online credentials prior to September 5. Here is a link to a sample Key Information Packet and you can visit schwaballiance.com to begin.

You can continue to reference this link for more information from Schwab on the transition, including screenshots of how to set up your credentials on SchwabAlliance.com

Will there be a cutoff or “blackout time” regarding seeing my accounts?

Yes, after the close of business on Friday, September 1, TD Ameritrade will turn off access to account viewing and activity for the transition to occur. On September 5, you can then login to Schwab Alliance to see your balance, positions, history, etc.

Will my current statement delivery preferences (online or paper) remain the same?

Yes! Your current statement / confirmation preference will remain. When you login to Schwab Alliance you can change your preference to online / paper at your convenience. Online statement delivery is quick, safe and secure. You will receive statements and confirmations (including tax documents) faster using the SchwabAlliance.com site rather than receiving documents via mail.

You must establish your SchwabAlliance credentials within 90 days of the transition in order to maintain your online / paperless statement preference. If you do not login within 90 days you will be converted to paper statements.

Account Verification Letter

On or around September 5, you will receive an Account Verification letter from Schwab. You will receive one letter per financial account that transitioned from TD Ameritrade to Schwab. This letter will confirm and review the account data that was migrated from TD Ameritrade to Schwab. Please take time to review the contents of each letter. If any information is inaccurate or missing, please contact your Wealth Manager or Client Service Manager.

Thank you for your patience throughout the TD Ameritrade and Schwab conversion! Your Annex team is here to assist and support you throughout the switch. Please contact your Annex Wealth Manager or Client Service Manager with any questions.

Have a wonderful Labor Day weekend!

Thank you!

Annex Wealth Management

August 18, 2023

If I closed an account at TD Ameritrade in 2022 or earlier, will I be able to see those statements on SchwabAlliance?

No. After the conversion, statements for previously closed accounts will not be available through SchwabAlliance. If you need to obtain a custodian statement for a previously closed account, please contact your Wealth Manager or Client Service Manager to request a copy from the custodian directly.

Will my view only permissions (spouse view only, etc.) that are currently established on AdvisorClient.com transfer over to SchwabAlliance.com?

No. The permissions will not transfer. You will be prompted to add “View Only” access to your accounts via a safe and secure digital workflow during your SchwabAlliance.com credential set-up.

*The opportunity to add “View Only” will not be available to access until after the September 5 conversion date.

Below please find instructions provided by Schwab to add “View Only” access to your accounts.

• • Log in
  • Profile (upper right)
  • Account Access
  • Give view only access (this is one of 3 choices)
  • Select account you’d like the person to access
  • Enter the person’s information: Full name, phone number, and email address
  • Confirm information
  • Agree & Submit

Learn how to add an authorized user to Schwab Alliance | Charles Schwab

*These instructions are not viable on Schwab Mobile.

Can I still transfer an outside account to my account at TD Ameritrade?

The last day to complete any incoming transfers to TD Ameritrade is Friday, August 25. Any transfers into your accounts after August 25 will be completed at Schwab post-September 5.

I would like to deposit a check into my account at TD Ameritrade. What’s the latest day this can be completed?

We can process internal and external money movements (ACH, checks, wires) and deposit checks through 3p.m. Central on Friday, September 1. After that time, all money movement will pause with the market close and restart on Tuesday, September 5 at Schwab.

Will I be able to access my Black Diamond account over Labor Day Weekend? What will I see after September 5?

Clients can still access their Black Diamond accounts over Labor Day weekend and will see their current TD Ameritrade account numbers. After 4p.m. Eastern on September 5 (approximately), Black Diamond will be refreshed and clients will see their new Schwab account numbers. Clients may need to log out and log back in after the refresh to see the updated data. When you log into Black Diamond on September 6 or later, you will see your updated Schwab account numbers and all historical account data.

Watch your email for more communications in the coming weeks – Annex will keep providing information regarding key dates and action items.

Please contact your Wealth Manager or Client Service Manager with any immediate questions.

Thank you!

Annex Wealth Management

August 10, 2023

The TD Ameritrade and Schwab merger will occur over Labor Day weekend. As the transition gets closer, we will continue to provide pertinent information and updates that may impact you leading up to and after the merger.

Here we’ve gathered some of the most frequently asked questions regarding your experience after the TD Ameritrade / Schwab merger and wanted to provide that information to you.

How can I see my accounts online?

On or around August 1, you received a Key Information Packet in the mail for each financial account that will transition to Charles Schwab. Included in the Information Packet were instructions to establish your login credentials for the Schwab Alliance. Please follow those instructions and establish your online credentials prior to September 5th. A link to a sample of the Key Information Packet is located here and you can visit schwaballiance.com to begin.

Please continue to reference this link for more information from Schwab on the transition.

What statements will I see at Schwab Alliance once the merger is completed?

When you login to Schwab Alliance after the transition, you’ll be able to see:

• • Up to 10 years of account statements
  • 7 years of tax documents
  • 2 years of trade confirmations
  • Cost basis

Clients will receive both a TD Ameritrade and Schwab statement in October to report for September. Clients will then only receive a statement from Schwab in the future.

Will my current statement delivery preferences (online or paper) remain the same?

Yes! Your current statement / confirmation preferences will stay the same. Upon logging into Schwab Alliance, you can then change your preferences to online / paper at your convenience. Online statement delivery is quick, safe, and secure. You will receive statements and confirmations (including tax documents) faster using the SchwabAlliance.com site rather than receiving documents via mail. If you are currently receiving paper statements we encourage you to consider switching to online delivery.

You must establish your SchwabAlliance credentials within 90 days of the transition to maintain your online / paperless statement preference. If you do not login within 90 days, you will be converted to paper statements.

Will my view only permissions (spouse view only, etc.) that are currently established on AdvisorClient.com transfer over to SchwabAlliance?

No. The permissions will not transfer. You will be prompted to add “View Only” access to your accounts via a safe and secure digital workflow during your SchwabAlliance.com credentials setup.

Will my recurring distribution / contribution continue uninterrupted after the merger?

All Standing Letters of Authorization (SLOA) allowing for ongoing contributions and distributions to verified accounts will be transferred in the merger. No additional action is required.

Will I receive multiple tax documents for 2023 filings?

If you have activity in your account(s), you’ll receive two sets of tax documents for 2023, one from TD Ameritrade and one from Schwab.

Will there be a cutoff or “blackout date” regarding being able to view my accounts?

Yes, after the close of business on Friday, September 1, TD Ameritrade will turn off access to account viewing and activity for the transition to occur. On September 5, you can then login to Schwab Alliance to see your balance, positions, history and more.

Watch your email for more communications in the coming weeks – Annex will keep providing information regarding key dates and action items.

Please contact your Wealth Manager or Client Service Manager with any immediate questions.

Thank you!

Annex Wealth Management

July 27, 2023

The TD Ameritrade and Charles Schwab transition is set to take place over Labor Day weekend. Below you will find information on what is coming soon and what you need to do next.

On, or about, August 1, you will receive from Schwab a Key Information Packet, which will include a letter and an insert.

This packet will be mailed by U.S. Postal Office and sent at a Financial Account level, meaning you will receive multiple packets if you have multiple accounts at TD Ameritrade.

This delivery format is required by TD Ameritrade and cannot be changed.

The Key Information Packet will contain many important details about the transition:

• New account number(s) by Financial Account
• Transition timeline
• Step-by-step instructions to create your Schwab Alliance login and password
• Any additional information about the transition

Annex will continue to send communication to you regarding the need to establish Schwab Alliance credentials as Labor Day approaches. For now, please retain the Key Information Packet for your records so you have access to your future account numbers once the transition is complete. Once the packet is in safe keeping, no other action is needed until further notice.

You can continue to review the Schwab client communication portal for more information. Click the button below to be directed to their website, which is updated regularly by Schwab with more details about the transition.

Click Here To Visit »

Your relationship with Annex Wealth Management will not change during this transition. We are, and will continue to be, here to support your questions and ensure we service you and your accounts the same way we always have.

Watch your email for more communications in the coming weeks – Annex will keep providing information regarding key dates and action items.

Please contact your Wealth Manager or Client Service Manager with any immediate questions.

Thank you!

Annex Wealth Management

June 27, 2023

Around June 28, TD Ameritrade will be sending an Account Transition Notice (also known as the Negative Consent Letter) to all Annex clients with
TD Ameritrade accounts. The notice will provide details about the transition, including timing and what to expect.

You do not need to take any action regarding the negative consent.

If you have email preferences established for your statements and confirmations at TD Ameritrade, you’ll receive email notifications via email about the Transition Notice. If you have paper/mail preferences established for your statements and confirmations, you’ll receive your notifications via US Postal Mail.

TD Ameritrade is required to send one notification per registration. Since the Account Transition Notice will be routed at the Financial Account level on TDA’s platform, if you have more than one account at TD Ameritrade, you’ll receive multiple notifications.

Please be sure to read through the information provided by TD Ameritrade in the Account Transition Notice – many frequently asked questions will be
addressed in the letter.

We’ll continue to communicate with you on all updates and action items throughout the summer. Thank you again for your continued trust in Annex Wealth Management.

Please contact your Wealth Manager or Client Service Manager with any immediate questions.

Thank you!

Annex Wealth Management

June 21, 2023

The merger between TD Ameritrade and Charles Schwab & Co., Inc. (Schwab) has been years in the making, and the conversion continues to move forward.

Schwab is the leading provider of financial services and has more than 30,000 employees to service their clients. The company was founded in 1973 and has grown to service more than 33 million accounts. Charles Schwab offers many of the same online access points and tools that you’re familiar with at TD Ameritrade.

Throughout the summer, you’ll receive additional and ongoing communication from both TD Ameritrade and Schwab. Please continue to watch your email and mail for information about your accounts and custodian change.

Please allow us to use our expertise and experience to help you navigate the transition. Annex Wealth Management has been working with Schwab for nearly 20 years. Our team is familiar with their online platforms, trading, service offerings, and we’re undergoing additional training on the Schwab platform to help make your experience even smoother.

As Labor Day approaches, TDA and Schwab will provide you with more information about the Schwab mobile app, online access and set up, and more. Schwab has put together a website for current TD Ameritrade clients with information on the transition and what to expect:

Click Here To Visit »

Annex Wealth Management will continue to communicate with you throughout the transition process with key dates and action items.

Please contact your Wealth Manager or Client Service Manager with any immediate questions.

Thank you!
Annex Wealth Management

June 7, 2023

TD Ameritrade and Charles Schwab will complete their long-awaited merger in September 2023. What does that mean for Annex clients?

If you currently have an Annex account custodied at TD Ameritrade, please watch your mail and email!

Throughout the summer, TD Ameritrade and Annex Wealth Management will be sending you information regarding timelines, online access, and more. There are no immediate changes to your access, visibility or accounts.

Later in June, clients with a TD Ameritrade account will receive an Account Transition Notice, with information about the merger.  Annex Wealth Management will also send a complementary email with similar information, reminding you about the Notice from TD Ameritrade.

We understand change isn’t easy.  Annex Wealth Management will be here along the way to provide answers, guidance and reassurance throughout the transition process.  We can expect that the transition will be completed in early September.

Please contact your Wealth Manager or Client Service Manager with any immediate questions. We will continue to communicate with you this summer on all updates and action items.

Thank you!

Annex Wealth Management