March 2, 2016

Running and operating a Schwab Independent Franchise Branch is an exciting opportunity designed for outstanding individuals. This innovative franchising program pairs the strength of experienced, driven, and service-oriented financial services professionals with the powerful reputation, nationwide network, and investor-first philosophy of Schwab.

If you identify with the following attributes, you may be an ideal person for this unique opportunity.

Professional experience

  • 10+ years in financial services, including experience as a financial advisor
  • Established reputation, credibility, and strong network of contacts in your community
  • The following professional licenses (currently hold or are able to successfully obtain within defined time frames):
    • Series 7; 63, 65, or 66; and 9/10
    • Life/Health and Annuity insurance licenses

Business growth

  • A proven track record for client acquisition and development
  • A skill for developing relationships and proactively engaging with members of your community
  • The desire to scale your business significantly over the long term

Your role

  • Become the trusted face—and voice—of Schwab in your community
  • Serve as the “trusted advisor,” guiding clients to appropriate Schwab resources and advice
  • Seize the opportunity to focus on developing and growing client relationships

Targeted markets

  • Interest in establishing a franchise in your community that’s not currently served by a Schwab branch
  • Target community has a large number of affluent households
  • Strong connection to your community, enabling you to identify and capitalize on existing networks and relationships within the market

Cultivating relationships

  • Ability to see through the client’s eyes and have an appreciation for the aspirations and motivations underlying their financial goals
  • Strong desire for one-on-one client development and personal service
  • Passion for helping individuals “own their tomorrow” in line with Schwab’s investor-first philosophy

Your commitment

  • Seek to run and operate a business while leveraging the strength of Schwab’s brand, expertise, and resources
  • An initial franchisee fee of $25,000–50,000 plus additional capital to invest in establishing your business

©2016 Charles Schwab & Co., Inc. (“Schwab”). All rights reserved. Member SIPC (0316-0967)(03/16)

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