Helpful to Know
• Do NOT use this form to:
– Convert an IRA to a Roth IRA.
– Roll over from a 529 college savings plan, ABLE account,
401(k), 403(b), or other workplace plan.
– Transfer from a nonretirement checking account.
– Transfer between retirement accounts if there is ANY
difference in how the names appear on the accounts.
• Most transfers are faster at Fidelity.com/toa.
• Use one form for each account you are transferring.
• Transfers can create legal issues (especially around
beneficiaries and form of ownership), as well as tax issues
and financial risks. Consult the appropriate professionals
before making a transfer.
• Avoid delays! Attach all pages of a recent account
statement.
Transfer of Assets Instructions
1. Receiving Account Information
List ALL names EXACTLY as they appear on this account.
Include any trustees. For UGMA/UTMA accounts, list the minor
first, then the custodian. The two accounts must have at least
one owner in common. Check the appropriate box for the type
of account held at Fidelity. If it is an existing account, provide
the account number. If it is a new account, select the box and
include a completed new account application with this form. All
account owners of this account must sign this form in Section 4.
2. Account Being Transferred
List ALL names EXACTLY as they appear on this account.
Include any trustees. For UGMA/UTMA accounts, list the minor
first, then the custodian. Check the appropriate box for the
type of account held at the delivering firm. All account owners
of this account must sign this form in Section 4.
3. Transfer Instructions
Complete ONLY subsection A, B, C, D, or E in Section 3. Providing
information in more than one subsection may result in Fidelity not
being able to process your request.
Brokerage or Trust Company Transfer
If you are transferring an entire account that has options or
margin trading privileges, you must also apply for options or
margin to transfer positions that require options or margin.
If you are transferring Mutual Fund positions held in your
brokerage account, shares will be transferred in kind.
Mutual Fund Company Transfer
Provide all fund account numbers if they are different from the
account number provided in Section 2.
Certain proprietary mutual funds may not be eligible for in-kind
transfers and must be liquidated.
Bank or Credit Union Transfer
Do NOT use this form to transfer a nonretirement bank
checking account. If you are liquidating a CD at maturity, submit
your request at least 21 days, but not more than 60 days, before
maturity, to ensure that we can process your request.
Annuity Transfer
Many insurance companies require their own internal
paperwork in order to process a TOA request. You should
contact the annuity firm for additional requirements before you
submit this form. All annuities must be surrendered (cashed in),
which could mean tax implications, penalties, fees, and loss of
product features.
Transfer Agent Transfer
Complete this section to transfer direct-registered shares held
electronically with the transfer agent. Certificated shares are not
eligible for transfer. Contact Fidelity for deposit instructions.
Contact the transfer agent to understand how cash proceeds
from fractional shares will be handled.
4. Signatures and Dates
All owners of BOTH accounts must sign and date this form in
Section 4. If an owner’s name appears differently on different
accounts, that owner must sign both ways.
Registration Differences Requirements
If there is ANY difference in the owner name(s) or account
type between Section 1 and Section 2, you must take the
following steps:
Nonretirement Accounts: If the difference(s) between
your Section 1 and Section 2 information are listed below,
attach any documents indicated. If the difference is not listed,
contact Fidelity for instructions BEFORE you submit this form.
In either case, all owners must sign this form in Section 4.
Retirement Accounts: Contact Fidelity for instructions
BEFORE you submit this form.
Examples of Registration Differences
Differences between Accounts Documents to Attach
Last name changed Marriage/divorce certificate
First/middle name changed or
listed differently
Letter explaining difference
One account is joint, the other
is individual
None
Different trustee(s) listed Updated trust document
Questions? Go to Fidelity.com/toa or call 800-396-8982.
Use this form to move some or all assets from another firm to Fidelity. Type on screen or fill in using CAPITAL letters and black ink. If you need
more room for information or signatures, make a copy of the relevant page.
