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.

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

During the call, our CSM will:

You will be CC’d on the post-call recap and notified of any next steps requiring advisor follow-up.

Once the client initiates the rollover with their current provider, we'll send them a prepaid shipping envelope and label so they can forward the check to us for deposit.

Checks should be made out to:
​Apex Clearing Corp FBO: [Client Name & Account Number]
​

Checks should be mailed to:

Zoe Securities

Attn: Check Intake

666 3rd Avenue – 6th Floor

New York, NY, 10017

After the call, the client success team will send a detailed recap email to both the client and you, outlining:

This ensures everyone stays aligned and nothing falls through the cracks.

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 [email protected] or call the team directly at (+1) 646-264-4449.