FRM-TSFR-10-14
©2014 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a wholly owned subsidiary of
The Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong to their respective owners.
Account Transfer Form Instructions
Complete all sections according to the instructions below. Please print or type all information. Return the completed form to
your financial organization.
You must attach your most recent brokerage account statement to process this account transfer. For an internal transfer (for instance, a transfer of
assets between two introducing broker-dealers who clear through Pershing) the brokerage account statement is not required. Non-U.S. positions
being transferred into your account will be held in U.S. dollars unless your financial firm instructs Pershing to hold the non-U.S. positions in their
original currency.
Step 1. Receiving Firm Information
Provide your Pershing account number.
Provide your Social Security Number (SSN) or Tax Identification
Number (TIN).
If the account is a joint account, provide the SSN or TIN for the joint
owner.
Provide the two character account type code that most accurately
describes your account.
Step 2. Delivering Account Information
Provide the clearing firm number. If there is no clearing firm number,
enter the delivering firm name, contact name, and telephone number.
• Provide the original account number of the account you are delivering
to Pershing.
• Provide the account title as it appears on your brokerage account
statement for the account you are transferring.
Step 3. Transfer Type
Indicate the type of transfer you are requesting by checking the
appropriate box. Pershing will only transfer positions in kind for retail
accounts. For nonretirement accounts, the quickest way to liquidate
your assets is to call your existing financial organization and place a sell
order. In order to ensure that the trade is executed at the time and price
you want, request to have the proceeds check mailed directly to you.
For checks, please refer to delivery instructions on this page (include
your account number on the check).
A Direct Registration System (DRS)/Direct Reinvestment Plan
(DRIP) transfer is a transfer of a position held directly at the transfer
agent.
A direct mutual fund transfer is a transfer in kind of a direct mutual
fund position from the mutual fund company.
Bank retirement plan accounts involve transfers of retirement
plans at banks with CDs, checking accounts, or savings accounts.
Please indicate if you want to liquidate immediately or defer these
instructions until maturity date. Please contact your financial
organization to stop any automated rollover reinvestments. (Please
read Step 5 and sign when applicable.)
Step 4. Partial Transfers, Direct Mutual Funds, and Liquidations
If you selected Partial Transfer, use this section to specify the
appropriate assets for a partial transfer. If you selected Direct Mutual
Fund Transfer, use this section to identify the mutual fund positions to
transfer.
Liquidation instructions will only be accepted from non-National
Securities Clearing Corporation (NSCC) firms.
Select a dividend and capital gain option for direct, in kind mutual
fund transfers. If a box is not checked, Pershing will process the
transfer as reinvest, for dividend and capital gain options.
If you have requested a liquidation, your market price is not guaranteed.
You will receive the current market price after your transfer request
is received, reviewed, and determined to be in good order by the
delivering firm. Pershing is not responsible for market fluctuations or
delays in the review process. DRS items cannot be liquidated.
Step 5. Retirement Plan Restrictions and Certifications
If you are transferring a retirement account and are over the age of
70½, read this section carefully. Contact your investment professional
or financial organization if you have any questions.
The new custodian must provide the appropriate paperwork.
• For retirement accounts for which Pershing LLC acts as the custodian
or servicing agent, you must pay all termination fees to your prior
custodian before you can transfer assets. Any deposit made to your
Pershing LLC custodian account to reimburse fees after the transfer
shall be processed as a current year contribution.
If you are transferring from a trustee, make the appropriate selection.
If you have selected someone other than Pershing LLC as custodian,
have your investment professional or financial organization obtain the
necessary signatures to accept custodianship.
Step 6. One in the Same Person Certification
Only complete this section if the name on the receiving account and
the name on the delivering account are not an exact match but are the
same person. Examples of discrepancies include name dierences due
to abbreviations and suxes (Sr., Jr., etc.).
Step 7. Participant Signature and Certification
Sign and date the form.
The form must be signed, dated, and signature guaranteed within 90
days of its receipt.
©2014 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a wholly owned subsidiary of
The Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong to their respective owners.
Account Transfer Form
STEP 1. RECEIVING FIRM INFORMATION
Receiving Firm Clearing Number
0443
Account Number
Primary Account Holder SSN/Tax ID Secondary Account Holder SSN/Tax ID
Account Type (two-character code)
Account Type Codes
NONRETIREMENT RETIREMENT
SN Single CU Custodian IR Traditional IRA 4K 401k 4B 403b
JT Joint ES Estate RI Roth IRA SI Simple IRA 7b 457 Plan
TR Trust BC Bank Custody DR Direct Rollover QP Qualified Plan 5p 529 Plan
CT Cotrustee AG Agency BI Beneficiary EI
Education Savings
Account
HS
Health Savings
Account
CO Corporate OT Other BR Beneficiary Roth IRA
STEP 2. DELIVERING ACCOUNT INFORMATION
Clearing Number Account Number
Firm Name
Account Title (as it appears on your statement)
Delivering Firm Contact Information (mandatory when clearing number is not provided)
Contact Name Telephone Number
Firm Address (no P.O. box)
City State Zip/Postal Code
PAGE 1 OF 4
FRM-TSFR-10-14
ONLY ONE RECEIVING
FIRM PER FORM.
A COMPLETE COPY
OF YOUR MOST
RECENT BROKERAGE
ACCOUNT STATEMENT
IS NECESSARY TO
PROCESS THIS FORM.
NON-U.S. POSITIONS
BEING TRANSFERRED
INTO YOUR ACCOUNT
WILL BE HELD IN U.S.
DOLLARS UNLESS
YOUR FINANCIAL FIRM
INSTRUCTS PERSHING
TO HOLD THE NON-
U.S. POSITIONS IN
THEIR ORIGINAL
CURRENCY.
This space intentionally left blank.
TFRR
©2014 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a wholly owned subsidiary of
The Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong to their respective owners.
Account Transfer Form
Account Number
FOR TRANSFER AGENTS,
ELECTRONICALLY SEND
POSITIONS OR ISSUE A
CERTIFICATE FOR WHOLE
SHARES AND REDEEM
FRACTIONAL SHARES.
STEP 3. TRANSFER TYPE
Choose only one.
Account Transfer
Full (check one below)
Transfer all assets in kind (skip to Step 7).
Liquidate all assets listed in Step 4 (liquidations are not for brokerage accounts).
Transfer all assets in kind except for the assets listed in Step 4, which require liquidation.
Partial (complete Step 4)
DRS/DRIP
Full (check one below)
Sell fractions and close account.
Transfer all full shares only.
Partial (list assets in Step 4)
Direct Mutual Fund
Transfer mutual funds from the account held directly at the fund company (see list in Step 4 for exact instructions).
Bank Retirement Plan Accounts (select only one)
Liquidate immediately and transfer cash.
I am aware of and acknowledge any penalty I will incur from an early withdrawal.
Liquidate at maturity and transfer cash.
Specify maturity date (submit two to three weeks before maturity date).
STEP 4. PARTIAL TRANSFERS, DIRECT MUTUAL FUNDS, AND LIQUIDATIONS
If there are more than eight assets, attach a signed list to this form.
QUANTITY
ASSET
DESCRIPTION CUSIP
1
/SYMBOL
FUND ACCOUNT
NUMBER
TRANSFER
INSTRUCTIONS
2
DIVIDEND
OPTIONS
3
CAPITAL
GAIN
OPTION
3
ESTIMATED
$ VALUE
Transfer in Kind
Liquidate
Cash
Reinvest
Cash
Reinvest
Transfer in Kind
Liquidate
Cash
Reinvest
Cash
Reinvest
Transfer in Kind
Liquidate
Cash
Reinvest
Cash
Reinvest
Transfer in Kind
Liquidate
Cash
Reinvest
Cash
Reinvest
Transfer in Kind
Liquidate
Cash
Reinvest
Cash
Reinvest
Transfer in Kind
Liquidate
Cash
Reinvest
Cash
Reinvest
Transfer in Kind
Liquidate
Cash
Reinvest
Cash
Reinvest
Transfer in Kind
Liquidate
Cash
Reinvest
Cash
Reinvest
1
CUSIP® belongs to its respective owner.
2
If you have requested a liquidation, your market price is not guaranteed. You will receive the current market price after your transfer request is received, reviewed, and
determined to be in good order by the delivering firm. Pershing is not responsible for market fluctuations or delays in the review process. DRS items cannot be liquidated.
3
If this is a mutual fund transfer and there is no dividend or capital gain option checked in the section above, Pershing will process this request as reinvest.
For Oce Use Only: All transfers must be added to Pershing’s transfer system.
PAGE 2 OF 4
FRM-TSFR-10-14
ONLY ONE FUND
FAMILY PER FORM.
LIQUIDATIONS
INVOLVING BANK CDS,
CHECKING ACCOUNTS,
OR SAVINGS ACCOUNTS
CAN ONLY BE PROCESSED
FROM RETIREMENT
ACCOUNTS.
©2014 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a wholly owned subsidiary of
The Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong to their respective owners.
Account Transfer Form
Account Number
X
STEP 5. RETIREMENT PLAN RESTRICTIONS AND CERTIFICATIONS
Age 70½ restrictions: If you are at least the age of 70½ this year and you are rolling over assets from a qualified
plan or 403(b) account, you must take your required minimum distribution (RMD) from your qualified plan or
403(b) account before rolling over your assets.
Rollover Certification of Employee: I understand the rules and conditions and I have met the requirements for
making a rollover. Due to the important tax consequences of rolling over funds or property, I have been advised
to see a tax professional. All information provided by me is true and correct and may be relied on by Pershing
LLC. I assume full responsibility for this rollover transaction and will not hold Pershing LLC liable for any adverse
consequences that may result. I hereby irrevocably designate this contribution in funds or other property as a
rollover contribution.
To the Prior Trustee
Pershing LLC accepts appointment as successor custodian.
Please be advised that the following does hereby accept appointment as successor custodian.
Successor Custodian’s Firm Name Date
Successor Custodian’s Signature
STEP 6. ONE IN THE SAME PERSON CERTIFICATION
Please only complete this section if the account owner of both accounts is the same person but the name on the
delivering account and the name of the receiving account are not an exact match. Examples of discrepancies
include name dierences due to abbreviations and suxes (Sr., Jr., etc.).
By signing below, I certify that
Print Name on Account
and
Print Alternate Name
are legally one and the same person.
PAGE 3 OF 4
FRM-TSFR-10-14
This space intentionally left blank.
©2014 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a wholly owned subsidiary of
The Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong to their respective owners.
Account Transfer Form
Account Number
PAGE 4 OF 4
FRM-TSFR-10-14
STEP 7. PARTICIPANT SIGNATURE AND CERTIFICATION
To the Delivering Firm Named Above: If this account is a qualified retirement account, I have amended the applicable
plan so that it names as successor custodian the trustee listed above. Unless otherwise indicated in the instruction
above, please transfer all assets in my account to Pershing without penalties, such assets may be transferred within
the time frames required by Financial Industry Regulatory Authority (FINRA) Rule 11870, or similar rule of FINRA
or other designated examining authority. Unless otherwise indicated in the instructions above, 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 authorize you to deduct any outstanding fees due to 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 insucient to satisfy any outstanding fees due to you, I authorize you to liquidate the assets in my
account to the extent necessary to satisfy that obligation. If certificates or other instruments in my account are in
your physical possession, I instruct you to transfer them in good deliverable form, including axing any necessary
tax waivers, to enable the successor custodian to transfer them in its name for the purpose of the sale, when, and as
directed to me. I understand that upon receiving a copy of this transfer information, you will cancel all open orders
for my account on your books. I arm that I have destroyed or returned to you credit/debit cards and/or unused
checks issued to me in connection with my brokerage account. I understand that you will contact me with respect
to the disposition of any assets in my brokerage account that are nontransferable.
Primary Account Holder
Print Name Date
Signature
Secondary Account Holder (if applicable)
Print Name Date
Signature
Investment Professional Information
Investment Professional Name Investment Professional Telephone Number
PLEASE ATTACH
YOUR MOST
RECENT BROKERAGE
ACCOUNT
STATEMENT TO
PROCESS THIS
ACCOUNT TRANSFER.
X
X
SIGNATURE GUARANTEED BY (FOR INTERNAL USE ONLY)
©2014 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a wholly owned subsidiary of
The Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong to their respective owners.
Account Transfer Form
Account Number
FRM-TSFR-10-14
FOR PROFESSIONAL USE ONLY
Contact
Account Transfers (888) 367-2563
Send to
Pershing LLC
One Pershing Plaza
Jersey City
New Jersey 07399
Tax Identification Number
13-2741729
Checks*
Rollovers All Other Transfers
Overnight Mail
Pershing LLC
Rollover Processing
Attn: 382084
500 Ross Street 154-0455
Pittsburgh, PA 15262-0001
Overnight Mail
Pershing LLC
Transfer Processing
Attn: 382091
500 Ross Street 154-0455
Pittsburgh, PA 15262-0001
Regular Mail
Pershing LLC
Rollover Processing
PO Box 382084
Pittsburgh, PA 15250-8084
Regular Mail
Pershing LLC
Transfer Processing
PO Box 382091
Pittsburgh, PA 15250-8091
Certificates*
Send certificates to the attention of Department S, Pershing LLC,
One Pershing Plaza, Jersey City, New Jersey 07399
Limited Partnerships Documents*
Send limited partnership documents to the Non-ACAT
Department, Pershing LLC, One Pershing Plaza, Jersey City, New
Jersey 07399
Cost Basis*
Please deliver through the DTCC Cost Basis Reporting Service
(CBRS) , firm account 00000443 CBRS account 0000A00C. For
Non CBRS firms please mail to Pershing LLC, One Pershing Plaza,
Jersey City NJ 07399. Attention Cost Basis department or fax to
(866) 355-5620.
Depository Trust and Clearing Corporation (DTCC) and
Eligible Securities and Options*
Instruct DTCC eligible securities and the Options Clearing
Corporation eligible options to clearing broker number 0443.
Federal Entry Securities*
Instruct federal entry securities, for instance, Treasury notes, to
BK OF NYC/PERSHING, ABA number 021000018.
Federal Fund Wires (cash)*
To transfer federal funds to Pershing, your clients must provide the
following wire instructions to the financial organization that will
be transmitting the funds on their behalf:
Bank: The Bank of New York
ABA Number: 021000018
Beneficiary: Pershing LLC
Beneficiary Account Number: 890-051238-5
Ultimate Beneficiary: Client’s Brokerage Account Name
Ultimate Beneficiary Account Number: Client’s Brokerage
Account Number (for instance, 123-456789-1)
If any of the above information is missing, there may be a delay
in crediting the account or the funds may be returned to the
sender. With regard to incoming federal fund wires for retirement
accounts for which Pershing LLC is the custodian or servicing
agent, please notify Pershing via Service Center in NetExchange
Pro® (Retirement Processing category, Contributions request),
on any contribution-related deposits to ensure that the funds are
coded properly for tax reporting.
Foreign Securities*
Send all foreign securities to the Non-ACAT Department to setup
instructions to receive the securities using Euroclear number
92146.
Reject Letters
Send all reject letters to the Non-ACAT Department.
*Include Pershing account number on all documentation.