This guide outlines the step-by-step process for initiating and completing a 401(k) rollover to Zoe Financial. As an advisor, your role is to help your client schedule the initial call and ensure they upload the necessary documentation. Our Client Success team will handle the rest of the operational steps directly with your client and keep you looped in throughout.
Step 1: Client Schedules the Rollover Call
The first step is for the client to book time with a Client Success Manager, to initiate the rollover.
Booking link: https://meetings.hubspot.com/sarah1893/client-success-meeting
We recommend you share this link with the client directly, but our CSMs can reach out as well.
Step 2: Client Uploads 401(k) Statement
Before the scheduled call, the client should upload their most recent 401(k) statement. This is required in order to review the plan details and provide rollover instructions.
Secure Dropbox link: https://www.dropbox.com/request/xWoHFSIpRO4hWvSHNMRw
Step 3: Rollover Call with Client Success
During the call, our CSM will:
Review the uploaded statement
Walk the client through the rollover process
Collect required verification
Provide mailing instructions for the rollover check
You will be CC’d on the post-call recap and notified of any next steps requiring advisor follow-up.
Optional Step 4: If Required, Client Mails the Rollover Check
Once the client requests the rollover from their current provider, they’ll be responsible for mailing the check to Apex Clearing.
Check instructions (provided to client):
Make payable to:
FBO: [Client Name & Account Number]
Apex Clearing Corporation
Attn: Banking Department
350 N. St. Paul St., Ste. 1300
Dallas, TX 75201-4229
We will include this in the written recap so the client has everything in writing.
Step 5: Recap Sent to Advisor and Client
After the call, the client success team will send a detailed recap email to both the client and you, outlining:
What was discussed
What the client needs to do
What to expect next
This ensures everyone stays aligned and nothing falls through the cracks.
Step 6: Deposit Confirmation
Once the check is received and processed, the client success team will receive a notification. We will reach out immediately with a confirmation of how
As always, if you have any questions about this process, feel free to email clientsupport@zoefin.com or call the team directly at (+1) 646-264-4449.