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APP68309-05
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©2018 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
CC1669694 (0218-8PTA) APP68309-05 (03/18)
www.schwab.com | 1-800-435-4000 (inside the U.S.) | +1-415-667-8400 (outside the U.S.) | 1-888-686-6916 (multilingual services)
Use this form to transfer securities and/or funds from another nancial institution (e.g., brokerage, mutual fund company, bank, or insurance company)
into your Schwab One Brokerage Account and your associated Schwab Global Account. If you wish to transfer assets solely to a Schwab One Brokerage
Account, please contact Schwab to obtain the correct Account Transfer Form.
All incoming securities will initially be deposited into your Schwab One Brokerage Account. By signing this Transfer Form, you authorize Schwab to then
transfer all eligible foreign securities from your Schwab One Brokerage Account into your associated Schwab Global Account.
All eligible foreign currencies will be deposited directly into your Schwab Global Account.
Your new Schwab One Brokerage Account and your new Schwab Global Account will be separate accounts with different account numbers. Your new
Schwab One Brokerage Account and your new Schwab Global Account will have different account features.
All Schwab Global Account holders must be a U.S. citizen or a U.S. resident alien and have a U.S. mailing address while the Schwab Global Account is
active. If you are not a U.S. citizen or if you do not reside in the U.S., you cannot open a Schwab Global Account.
The Schwab Global Account is not available for retirement or custodial accounts. If you wish to open a Schwab One Brokerage Account on behalf of a
corporation, trust, or other organization, you will need to complete a different Account Transfer Form.
The Schwab Global Account is not available for persons associated with a member broker-dealer.
The Schwab Global Account is not available for persons who are directors, 10% shareholders, or policy-making ofcers of a publicly traded company.
1. Account Information Schwab respects your privacy. We will use the information you provide to process your transfer of account request. Read
about Schwab’s privacy policy at www.schwab.com/privacy. The name(s) and title of the account you are transferring should be identical to those of
your Schwab account. If they are not, be sure to complete Section 4 on page 3. Attach a copy of your most recent statement (dated within 90 days).
Schwab One Account
Account Holder Name (First) (Middle) (Last) Name of Firm, Mutual Fund Company or Insurance Company
Additional Account Holder Name (First) (Middle) (Last) Account Number Account Registration
Schwab One Account Number (If you are opening a new account, leave blank.) Name and Title of the Account (as it appears on your statement)
Social Security/Tax ID Number Daytime Telephone Number Telephone Number
Account You Are Transferring
Schwab Global Account Number (if available)
G
2. Transfer Instructions
NOTE: All securities and funds will be transferred to your Schwab One Brokerage Account with the exception of the eligible currencies you designate in
the Global transfer section below.
A. Brokerage, Trust Company, or Dividend Reinvestment Plan Account Transfer (Select the appropriate option and sign in Section 3.)
Transfer my entire account in kind to my Schwab One Brokerage Account.
Transfer only the following assets from my account to my Schwab One Brokerage Account. (Attach additional sheets if necessary.)
Description of Asset
(money market, stocks, bonds, etc.)
(partial transfers only)
Quantity
(number of shares
or “A LL” )
Description of Asset
(money market, stocks, bonds, etc.)
(partial transfers only)
Quantity
(number of shares
or “A LL” )
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Schwab Global Account
and
Schwab One
®
Brokerage Account
Transfer Form
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APP68309-05
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©2018 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
CC1669694 (0218-8PTA) APP68309-05 (03/18)
Page 2 of 5
B. Transfer the following currency(ies) directly into my Schwab Global Account (eligible currencies listed below):
Australian Dollar (AUD)
All Partial_____________
Canadian Dollar (CAD)
All Partial_____________
Euro (EUR)
All Partial_____________
British Pound Sterling (GBP)
All Partial_____________
Hong Kong Dollar (HKD)
All Partial_____________
Japanese Yen (JPY)
All Partial_____________
Norwegian Kroner (NOK)
All Partial_____________
U.S. Dollar (USD)
All Partial_____________
3. Authorization to Transfer (All Schwab account holders/trustees are required to sign.)
Be sure to attach a complete copy of the most recent statement (dated within 90 days) for each account you are transferring to Schwab.
To Delivering Firm:
Unless otherwise indicated in the instructions in Section 2 on the previous page, please transfer all assets in my account to Charles
Schwab & Co., Inc. (“Schwab”). I understand that to the extent any assets in my account are not readily transferable, with or without penalties, such assets
may be transferred in accordance with Financial Industry Regulatory Authority (FINRA) Rule 11870. Unless otherwise indicated in the instructions in Section 2,
I authorize you to liquidate any nontransferable proprietary money market fund assets that are part of my account, and transfer the resulting credit balance to
the successor custodian. I understand that you will contact me with respect to the disposition of any other assets in my securities account that are nontrans-
ferable. I authorize you to deduct any outstanding fees due you from the credit balance in my account. If my account does not contain a credit balance, or if
the credit balance in the account is insufcient to satisfy any outstanding fees due you, I authorize you to liquidate the assets in my account to the extent
necessary to satisfy that obligation. If certicates or other instruments in my account are in your physical possession, I instruct you to transfer them in good
deliverable form, including afxing any necessary tax waivers, to enable the successor custodian to transfer them in their name for the purpose of sale, when
and as directed by me. I understand that upon receiving a copy of this transfer instruction, you will cancel all open orders for my account on your books.
I afrm that I have destroyed or returned to you credit/debit cards and/or unused checks issued to me in connection with my securities account.
Fees: If the assets I am transferring are considered nonstandard assets at Schwab (such as limited partnerships), I understand that I will be charged
set-up and maintenance fees. I understand that fractional shares of stock are nontransferable, and I agree that any fractional shares will be liquidated
by the delivering rm upon the transfer of the whole shares. The delivering rm may or may not charge a fee for this liquidation. I understand that the
delivering rm may or may not assess account fees for the transfer and/or termination of my account with them.
Schwab Global Account Eligibility: I understand that not all foreign securities are eligible to be held in my Schwab Global Account. I understand that Schwab
will send me, either to my email address specied in my Account Application or to my address specied in my Account Application, a list of all securities
transferred into my Schwab On Brokerage Account that are eligible to be held in my Schwab Global Account. I understand and agree that if I do not wish any
specic eligible securities to be transferred to the Schwab Global Account I will notify Schwab as instructed in the communication. I hereby instruct Schwab to
transfer all foreign securities that are eligible to be held in my Schwab Global Account into my Schwab Global Account. I agree that this transfer will occur after
Schwab provides me with the list of Schwab Global Account eligible securities.
Mutual Fund Dividends and Capital Gains (Account Transfers via ACAT Only): I understand that my delivering broker may provide Schwab with mutual fund
dividends and capital gains distribution instructions for each mutual fund position, so that Schwab may implement these instructions. In the event that the
instructions are not provided by the delivering broker or the dividend and/or capital gains distribution option requested is not available at Schwab, the
instructions will default to reinvest (unless reinvestment isn’t available, in which case dividends and capital gains will be paid in cash).
Liquidations: I understand that buying and selling securities during the account transfer process may complicate and delay my transfer. Some rms may even
“freeze” an account that is in the process of being transferred, meaning that no trades will be permitted until the transfer is complete. As a result, I should
avoid trading during the transfer process. If I am concerned about not being able to sell my securities during the transfer process, I should consider selling my
securities and waiting until I have received the proceeds before entering the transfer request.
Cost Basis: I understand that Schwab will update my account with the cost basis information provided on a transfer statement by a delivering rm. Because
the accuracy of cost basis data depends upon these third-party statements, Schwab is not able to guarantee the availability, accuracy, or completeness
of such cost basis data. It is my obligation to conrm the accuracy of the information Schwab receives from the delivering rm by visiting Schwab.com or
calling Schwab.
2. Transfer Instructions (Continued)
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©2018 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
CC1669694 (0218-8PTA) APP68309-05 (03/18)
Page 3 of 5
By signing below, I acknowledge that I have read and I understand this form in its entirety.
Signature(s) and Date(s) Required
X
Account Holder/Trustee Signature Date
X
Additional Account Holder/Trustee Signature Date
Medallion Signature Guarantee (for Charles Schwab Use Only) Medallion Signature Guarantee (for Charles Schwab Use Only)
4. Discrepancies of Account Name and Type (required if the account name[s] and/or type you are transferring do not match your Schwab account)
I/We hereby authorize the transfer of my/our account being held at therm listed above registered as ________________________________________________________
(Account name[s]/type at delivering rm: for example, First Name, Last Name, Individual Account)
to my/our account at Schwab registered as ________________________________________________________________________________________.
(Account name[s]/type at Charles Schwab & Co., Inc.: for example, First Name, Last Name, Joint Account)
Signature(s) and Date(s) Required
X
Account Holder/Trustee Signature Date
X
Additional Account Holder/Trustee Signature Date
3. Authorization to Transfer (Continued)
CHARLES SCHWAB USE ONLY: Letter of Acceptance—To the prior custodian: Please be advised that Charles Schwab & Co., Inc. will accept the
above-captioned account as successor custodian.
Successor Custodian Authorized Signature Date
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©2018 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. CC1669694 (0218-8PTA) APP68309-05 (03/18)
Page 4 of 5
All DTC-Eligible Securities
All deliveries MUST include client name and Schwab account number.
Delivery to DTC Clearing 0164, Code 40.
Dividend Reinvestment or Closed-End Mutual Funds
All deliveries MUST reference client name and Schwab account number.
The clients Schwab account number must not be included in the
mailing address. Do not establish an account in the name of Charles
Schwab & Co., Inc. FBO (for benet of) the client.
Issue a certicate for all whole shares, liquidate all fractional shares,
and discontinue dividend reinvestment.
Foreign Securities
All deliveries MUST include client name and Schwab account number.
Call 1-602-355-9003 for delivery instructions.
Physical Delivery of Checks and/or Securities
All deliveries MUST reference client name and Schwab account number.
Charles Schwab & Co., Inc.
Document Control
Attn: Cashiering, P.O. Box 982600, El Paso, TX 79998-2600
Overnight Mailing Address:
Charles Schwab & Co., Inc.
Document Control
Attn: Cashiering, 1945 Northwestern Drive, El Paso, TX 79912
Fed Book-Entry Securities (e.g., Treasury Notes)
All deliveries MUST include client name and Schwab account number.
JPM CHASE/CCC
ABA #: 021000021
Charles Schwab A/C G69873
FBO: eight-digit customer A/C # and name
Receiving Firm Information
Name and Address Overnight Mailing Address Tax ID Number
Charles Schwab & Co., Inc. Charles Schwab & Co., Inc.
94-1737782
Document Control Document Control Schwab Clearing Number
P.O. Box 982600, El Paso, TX 79998-2600 1945 Northwestern Drive, El Paso, TX 79912 0164
For Delivering Firm Use Only
Liquidate Money Fund and transfer cash according to instructions listed below.
Please note that all non-USD currencies are only eligible in the Schwab Global Account™ and should be forwarded to the wiring instructions below.
Any currencies not listed should be wired to the client’s Schwab One® Account (instructions above) for conversion to USD. Exchange fees may apply.
Currency Wire Instructions
Australian Dollar (AUD) Destination Bank:
SWIFT ID:
Account Name:
Account Number:
Bank Address:
Correspondent Bank:
SWIFT ID:
Account Number:
For Further Credit to:
Citibank NA, London
CITIGB2L
CH SCHW – FOR EXCL BEN GLB CUST (CLR)
13025500
25 Canada Square, Citibank Centre, E14 5LB, United Kingdom
Citibank Sydney
CITIAU2X
0912083012
(To ensure your account is properly credited, provide the eight-digit account number
and name[s] listed on your Schwab Global Account.)
Canadian Dollar (CAD) Destination Bank:
SWIFT ID:
Account Name:
Account Number:
Bank Address:
For Further Credit to:
SWIFT ID:
For Further Credit to:
Citibank NA, London
CITIGB2L
CH SCHW – FOR EXCL BEN GLB CUST (CLR)
13025489
25 Canada Square, Citibank Centre, E14 5LB, United Kingdom
Toronto Dominion Bank, Toronto
TDOMCATTTOR
(To ensure your account is properly credited, provide the eight-digit account number
and name[s] listed on your Schwab Global Account.)
European Euro (EUR) Destination Bank:
SWIFT ID:
Account Name:
Account Number:
IBAN:
Bank Address:
For Further Credit to:
Citibank NA, London
CITIGB2L
CH SCHW – FOR EXCL BEN GLB CUST (CLR)
13025497
GB74 CITI 1850 0813 0254 97
25 Canada Square, Citibank Centre, E14 5LB, United Kingdom
(To ensure your account is properly credited, provide the eight-digit account number
and name[s] listed on your Schwab Global Account.)
British Pound Sterling (GBP) Destination Bank:
SWIFT ID:
Sort Code:
Account Name:
Account Number:
Bank Address:
For Further Credit to:
Citibank NA, London
CITIGB2L
18-50-08
CH SCHW – FOR EXCL BEN GLB CUST (CLR)
13025519
25 Canada Square, Citibank Centre, E14 5LB, United Kingdom
(To ensure your account is properly credited, provide the eight-digit account number
and name[s] listed on your Schwab Global Account.)
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©2018 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. CC1669694 (0218-8PTA) APP68309-05 (03/18)
Currency Wire Instructions
Hong Kong Dollar (HKD) Destination Bank:
SWIFT ID:
Account Name
Account Number:
Bank Address:
Correspondent Bank:
SWIFT ID:
Account Number:
For Further Credit to:
Citibank NA, London
CITIGB2L
CH SCHW – FOR EXCL BEN GLB CUST (CLR)
13025462
25 Canada Square, Citibank Centre, E14 5LB, United Kingdom
Citibank NA, Hong Kong
CITIHKHX
5020029007
(To ensure your account is properly credited, provide the eight-digit account number
and name[s] listed on your Schwab Global Account™. )
Japanese Yen (JPY) Destination Bank:
SWIFT ID:
Account Name:
Account Number:
Bank Address:
Correspondent Bank:
SWIFT ID:
Account Number:
For Further Credit to:
Citibank NA, London
CITIGB2L
CH SCHW – FOR EXCL BEN GLB CUST (CLR)
13025616
25 Canada Square, Citibank Centre, E14 5LB, United Kingdom
Citibank NA, Tokyo
CITIJPJT
0201109418
(To ensure your account is properly credited, provide the eight-digit account number
and name[s] listed on your Schwab Global Account.)
Norwegian Kroner (NOK) Destination Bank:
SWIFT ID
Account Name:
Account Number:
Bank Address:
Correspondent Bank:
SWIFT ID:
For Further Credit to:
Citibank NA, London
CITIGB2L
CH SCHW – FOR EXCL BEN GLB CUST (CLR)
13025586
25 Canada Square, Citibank Centre, E14 5LB, United Kingdom
Den Norske Bank, Oslo
DNBANOKK
(To ensure your account is properly credited, provide the eight-digit account number
and name[s] listed on your Schwab Global Account.)
U.S. Dollar (USD) Destination Bank:
ABA
Account Name:
Account Number:
Bank Address:
For Further Credit to:
Citibank NA, New York
021000089
Charles Schwab & Co., Inc.
30898608
111 Wall Street, New York, NY 10005
(To ensure your account is properly credited, provide the eight-digit account number
and name[s] listed on your Schwab Global Account.)
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©2018 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. CC1669694 (0218-8PTA) APP68309-05 (03/18)
Transfer Your Account
Checklist for a Successful Transfer
Attach a complete copy of your most recent statement for
each account you are transferring (dated within 90 days).
Use a separate form for each account you are transferring.
Photocopies are acceptable.
Transfers should occur between “like” accounts; e.g.,
a joint registered account should transfer to a joint account
at Schwab. (Otherwise, see Section 4 for instructions.)
Complete all information and have all account holders sign.
Mail your completed form to: Charles Schwab & Co., Inc.,
Document Control, P.O. Box 982600, El Paso, TX 79998-2600.
Additional Information
• Visit www.schwab.com for a status update on your transfer.
To check on the transfer of securities from your Schwab One®
Brokerage Account to your associated Schwab Global Account™,
or to conrm securities eligible for the Schwab Global
Account, please contact a Global Investing Services (GIS)
representative to assist you at 1-800-992-4685.
To obtain additional forms, visit www.schwab.com or call
1-800-992-4685.
Contingent Orders
Schwab will not accept or honor any oral or written instructions
from you to purchase or sell securities with the proceeds of the
cash and/or transferred securities before we have actual receipt
of your assets and the transfer process is complete.
Frequently Asked Questions
How long will it take?
Depending on the type of securities, a typical transfer will take
approximately three weeks. However, some may take up to six
weeks or even longer.
Please remember that while we make every effort to ensure a
swift transfer, the actual transfer time depends on how quickly
securities are liquidated and released or transferred by the
nancial institution currently holding your investments.
Will I be charged a fee?
An exit fee may be charged by your previous nancial institution
upon receiving your transfer request.
How do I move assets from my Schwab One Account to
my Schwab Global Account?
Once assets are received by Schwab from the delivering rm, a
Global Investing Services (GIS) representative will contact you and
assist you in transferring all eligible assets to your Schwab Global
Account. This process may take additional time to complete.
Are my funds transferable?
Schwab can transfer over 6,000 different mutual funds. Some
nancial rms issue their own (proprietary) mutual funds, and
these funds typically cannot be transferred to any rm. Also, there
are some mutual fund companies with whom Schwab has not
established an agreement with the fund issuer to hold a particular
mutual fund. If the mutual fund cannot be transferred, then you
may be notied by mail.
How do I sell assets prior to transfer?
If there are assets that need to be sold before being transferred
to Schwab, please instruct the delivering rm to sell assets in
your brokerage or trust company account and cancel dividend
reinvestment prior to sending this form to Schwab. This helps
ensure that liquidations proceed efciently, because many
brokerage or trust companies will not accept instructions from
Schwab to sell assets.
Questions? Call 1-800-992-4685.
Thank you for investing with Charles Schwab.
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