Fill - Free fillable Transfer Your Account to Schwab (Charles Schwab) PDF form

CC0818868 (1116-PPUL) APP13017-26 (11/16)

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Transfer Your Account to Schwab

When to use this form:

• Use this form to transfer securities and/or funds from another nancial institution (e.g., brokerage rm,

mutual fund company, bank or insurance company) into your Charles Schwab & Co., Inc. (“Schwab”)

account.

• To see if your account is eligible for online transfers, go to schwab.com/transfer and log in.

• To roll over assets from a 401(k) or other qualied employer-sponsored retirement plan, please call a

Schwab Rollover Consultant at 1-877-412-6116.

• If you want to open a new Schwab account, please attach a completed Open a Schwab One

Account

application to this form.

• International transfers can be initiated by visiting international.schwab.com.

Please Remember:

• The names on the account you’re transferring should be identical to those on your Schwab account. If they do not

match, you may need to provide one or more of the additional documents listed in Section 2.

• You must attach a copy of your most recent account statement (dated within 90 days) for the account you wish

to transfer.

• For Sections 3–6, please complete only one section and continue to Section 7.

• A separate Transfer Your Account to Schwab form must be used for each account you are transferring.

• Return instructions are found on page 5.

Tell Us About Your Schwab Account (Required)

Name(s) (Please list all names as they appear on your account.)

Account Type/Registration Schwab Account Number Social Security/Tax ID Number

Tell Us About the Account You’re Transferring (Required)

Name of Firm, Mutual Fund Company or Insurance Company Delivering Firm Telephone Number

Name and Title of Account (as shown on your account) Account Number Account Type/Registration

Additional Documents

If the name(s) on your Schwab account differs from the name(s) on the account that you wish to transfer, you may need

to provide additional documentation. Trust discrepancies may require additional documentation not listed below.

Last name changed. Please provide a certied marriage certicate, certied divorce decree or other certied

court document.

First/middle name changed or listed differently. Please provide a court document or second-name letter.

If you are opening a new

Schwab account, you can

leave the Schwab account

number eld blank.

If the names listed here do

not match those listed on

your Schwab account, you

may need to attach additional

documentation and/or have

those signatures notarized.

Schwab.com

1-800-464-6093

(inside the U.S.)

+1-415-667-8400

(outside the U.S.)

1-888-686-6916

(multilingual services)

We’re here to help.

Page 1 of 5

ADA

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Transfer Your Account to Schwab | Page 2 of 5

For Sections 3–6, complete only one section and continue to Section 7.

Credit Union, Bank, Brokerage, Trust Company, and/or Dividend Reinvestment Transfers

(If Applicable)

Do not complete this section if you have a CD or annuity transfer. Complete Section 4 or 5.

Amount of Transfer:

Full. Transfer my entire account in kind. (Includes cash and/or money market balances.)

Partial Transfer. Transfer $ (cash amount) and/or the assets listed below.

Name, Symbol, or CUSIP # (stocks, bonds, money market, etc.) (partial transfers only) Number of Shares or “ALL”

Liquidate Certicate of Deposit (CD) and Transfer Cash (If Applicable)

I am aware of and acknowledge any penalty I will incur from early withdrawal. It is my decision to proceed with this

request. I understand that all bank-held and credit union–held CD requests should be submitted two to three weeks

before maturity date and that requests should not be submitted earlier than 30 days before maturity.

Liquidate my CD immediately and transfer cash:

All. Transfer my entire CD proceeds: $ (expected value of my CD proceeds).

Partial. Transfer only $ of my CD proceeds.

Liquidate my CD at maturity

and transfer cash:

(mm/dd/yyyy)

All. Transfer my entire CD proceeds: $ (expected value of my CD proceeds).

Partial. Transfer only $ of my CD proceeds.

Surrender or Liquidate Annuity and Transfer Cash (If Applicable)

All annuities must be surrendered or liquidated and the proceeds transferred to Schwab, which could result in

negative tax consequences, penalties and fees. Before signing this form and liquidating your existing annuity, you

should discuss the implications with your own tax or estate planning professional. You may still proceed with

the annuity surrender if you have determined to direct us to process the transaction, but it will be without the

recommendation of Charles Schwab & Co., Inc. If you elect to proceed with the annuity surrender, please sign and

return this form. If you have any questions, please contact your Schwab Representative.

Liquidate my annuity immediately and transfer cash:

All. Transfer my entire annuity proceeds: $ (expected value of my annuity proceeds).

Partial. Transfer only $ of my annuity proceeds.

Liquidate my

annuity

at maturity

and transfer cash:

(mm/dd/yyyy)

All. Transfer my entire annuity proceeds: $ (expected value of my annuity proceeds).

Partial. Transfer only $ of my annuity proceeds.

Important Annuity Information: Before signing this form and requesting that your annuity be liquidated and the

proceeds transferred to Schwab, please contact your own tax professional. To transfer your annuity assets, a surrender

or liquidation of your annuity contract assets must generally occur. This may result in the following consequences:

surrender charges, loss of vested living or death benets, potential impact to your estate plan, taxable earnings and

If your cash is held in a

checking and/or savings

account, please deposit a

check instead of completing

this form.

Attach additional

pages if needed.

You may only select

one choice.

You may be charged a penalty

for early withdrawal.

For annuities not held in an

IRA account, Section 1035

of the Internal Revenue Code

may allow you to make a

tax-free exchange of one

annuity contract for

another annuity contract.

Contact your tax or estate

planning professional

before liquidating.

Do not complete this section

if you are making a 1035

annuity exchange. For all

1035 annuity exchanges, call

1-888-311-4887.

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Transfer Your Account to Schwab | Page 3 of 5

possible tax penalties. Some annuities require the submission of the original policy to complete a transfer; please

consult with your insurance company and submit the original policy if needed. By signing this form, I hereby direct

Schwab to process the surrender indicated above and indemnify and hold harmless Schwab and its representatives

from and against any and all claims, losses, taxes, penalties and costs (including reasonable attorney fees and

expenses) arising from or related to my decision to direct Schwab to process this surrender.

Mutual Fund Company Transfers (If Applicable)

Type of Transfer

Full. Transfer my entire account. (List below all mutual fund account numbers being transferred.)

Partial. Transfer only certain funds. (Complete entire section below.)

Name of Fund, CUSIP

and/or Symbol

Fund Account Number

Quantity

(Indicate

# of shares

or “ALL.”)

Handling

(Check one.)

Future Dividends and

Capital Gains*

In Kind Liquidate Pay Cash Reinvest

Pay/

Reinvest

*If you do not select a future dividend and capital gains option, Schwab will transfer all shares requested in kind and

reinvest your dividends and capital gains distributions. If dividend reinvestment is not available at Schwab, Schwab

will automatically pay all future dividends and capital gains distributions in cash.

Authorization to Transfer and Account Holder Signature(s)

To Delivering Firm: Unless otherwise indicated in the instructions in Sections 3–6, 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 not be transferred within the time frames required by FINRA Rule 11870 or a similar rule of another

designated examining authority. Unless otherwise indicated in the instructions in Sections 3–6, 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 non-transferable. 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 insufcient 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 afrm that I have destroyed or returned to you credit/debit cards and/or unused checks issued to me in connection with

my securities account.

For Retirement Accounts: If this transfer of account is for a qualied retirement account, I have amended the

applicable plan so that it names Schwab as successor custodian. If this transfer of account is for an IRA, I hereby adopt

or reafrm my adoption of the Charles Schwab & Co., Inc. Individual Retirement Plan. If I am transferring an IRA and the

IRA type indicated on my statement is different from the IRA I currently maintain at Schwab (e.g., Traditional IRA vs.

Rollover IRA), I hereby authorize Schwab to commingle my IRA assets.

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.

Please select

nly o

ne box.

Please list all mutual fund

accounts and include a

current statement dated

within 90 days.

Use a separate transfer

form for each mutual

fund company.

Attach additional

pages if needed.

Please read and sign on the

following page.

5. Surrender or Liquidate Annuity and Transfer Cash (If Applicable) (Continued)

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CC0818868 (1116-PPUL) APP13017-26 (11/16)

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Transfer Your Account to Schwab | Page 4 of 5

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. If the same position is already held in my Schwab account,

the dividend instructions will default to the current Schwab choice. 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 stock during the transfer process, I should consider selling my stock

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. Cost basis information is intended for residents of the U.S. It may not be available or appropriate for

customers who reside outside the U.S.

Name Discrepancies: All account holders or authorized signers of the account(s) listed in Sections 1 and 2 of this

form must sign below. If an account holder’s name appears differently on either account, the owner must sign the

form using all name variations (e.g., maiden name and married name). If there is a name variation, Schwab may

require additional documentation before accepting the account, such as a marriage certicate or a divorce decree.

Registration Discrepancies: All account holders or authorized signers of the account(s) listed in Sections 1 and

2 of this form must sign below. By signing below, I/we acknowledge the existence of any differences in account

owners and/or account type between the account being transferred into Schwab and the Schwab account. Each

individual who signs below is aware of these discrepancies and authorizes Schwab to accept the transfer of assets

as indicated on this form. Schwab or the delivering rm may require additional documentation to effect transfers of

assets between unlike accounts.

By signing below, I/we acknowledge that I/we have read and I/we understand this form in its entirety. I/we hereby

authorize the transfer of my/our account as listed in Section 2 to the Schwab account listed in Section 1. By signing

below, I/we also authorize any name or account discrepancy during the transfer.

Account Holder/Trustee Signature Account Holder/Trustee Signature

Print Name Title, First Middle Print Name Title, First Middle

Print Name Last, Sufx Print Name Last, Sufx

2 0

Today’s Date (mm/dd/yyyy) Today’s Date (mm/dd/yyyy)

Account Holder/Trustee Signature Account Holder/Trustee Signature

Print Name Title, First Middle Print Name Title, First Middle

Print Name Last, Sufx Print Name Last, Sufx

2 0

Today’s Date (mm/dd/yyyy) Today’s Date (mm/dd/yyyy)

Important disclosures

regarding account

discrepancies.

Use blue or black ink.

All non-Schwab account

holders signing this transfer

form must have their

signatures notarized.

SIGN HERE

7. Authorization to Transfer and Account Holder Signature(s) (Continued)

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CC0818868 (1116-PPUL) APP13017-26 (11/16)

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Transfer Your Account to Schwab | Page 5 of 5

Next Steps

Did you remember to:

Attach a copy of your most recent statement for the account you are transferring?

Attach any necessary additional documents listed in Section 2?

For Clients Residing in the United States:

Please return pages 1–5 of this form to your nearest Schwab branch or mail to Charles Schwab & Co., Inc.

Regular Mail

Charles Schwab & Co., Inc.

Attn: IS Document Control

P.O. Box 982600

El Paso, TX 79998-2600

Regular Mail

Charles Schwab & Co., Inc.

Attn: IS Document Control

P.O. Box 628291

Orlando, FL 32862-8291

Overnight Mail

Charles Schwab & Co., Inc.

Attn: IS Document Control

1945 Northwestern Drive

El Paso, TX 79912

Overnight Mail

Charles Schwab & Co., Inc.

Attn: IS Document Control

1958 Summit Park, Ste. 200

Orlando, FL 32810

For International Clients

Please return pages 1–5 of this form by mail to Charles Schwab & Co., Inc.

Standard U.S. Mail

Attn: International Account Solutions

Charles Schwab & Co., Inc.

P.O. Box 982601

El Paso, TX 79998-2601

USA

International Mail/Overnight Delivery

Attn: International Account Solutions

Charles Schwab & Co., Inc.

1945 Northwestern Drive

El Paso, TX 79912-1108

USA

Be sure to enclose any accompanying materials with your form (such as a check for an initial deposit to open a new

account). Should you have any questions or need help, just call 1-877-686-1937 (inside the U.S.) or +1-415-667-8400

(outside the U.S.).

Return instructions

FOR DELIVERING FIRM USE ONLY

RECEIVING FIRM INFORMATION

Name and Address

Charles Schwab & Co., Inc.

IS Document Control

P.O. Box 982600

El Paso, TX 79998-2600

Tax ID Number

94-1737782

Overnight Mailing Address

Charles Schwab & Co., Inc.

IS Document Control

1945 Northwestern Drive

El Paso, TX 79912

Schwab Clearing Number

0164

FOR DELIVERING FIRM USE ONLY

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

client’s 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.

Physical Delivery of Checks and/or Securities: All deliveries MUST

reference client name and Schwab account number.

Name and Address

Charles Schwab & Co., Inc.

IS Document Control

P.O. Box 982600

El Paso, TX 79998-2600

Overnight Mailing Address

Charles Schwab & Co., Inc.

IS Document Control

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.

Bank of New York Mellon

ABA #: 021000018

BK OF NYC/CSCHWAB

FBO: 8-digit customer A/C # and name.

Liquidate Money Fund and transfer cash according to instructions

listed below.

Fedwire

Monies: All deliveries MUST include client name and

Schwab account number.

Wire to: Citibank NA, 111 Wall Street, New York, NY 10005

ABA #: 021000089

FBO: Charles Schwab & Co., Inc. A/C #: 40553953

For further credit to Schwab Client Account #:

Foreign Securities: All deliveries MUST include client name and

Schwab account number.

Call 1-602-355-9003 for delivery instructions.

ADA

• Visit Schwab.com for a status update on your transfer or to initiate your transfer online.

• To transfer funds from one Schwab account to another, go to the Transfer and Payments tab on Schwab.com or use the Letter of

Authorization (LOA) Transfer Assets Between Schwab Accounts form.

• To obtain additional forms, visit Schwab.com or call 1-800-435-4000.

GENERAL INFORMATION

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.

If you want dividend reinvestment on your stocks, you will need to call

1-800-435-4000 after your transfer is complete.

If dividend reinvestment is not available for your mutual fund shares,

Schwab will automatically pay all future dividends and capital gains

distributions in cash. Requests to sell mutual fund positions are

dependent upon the delivering rm receiving and processing the

request and may take several weeks to complete.

If your fund is not transferable as shares, you may consider initiating a

redemption at the fund company and request that they deliver cash to

your Schwab account for a faster transfer.

If the account you are transferring holds pooled investments such as

hedge funds, funds of funds, private equity, limited partnerships, REITs,

or any other Alternative Investments, please contact our AI Service

team at 1-877-201-2985.

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. A wire fee may also be charged by your

previous nancial institution to transfer to Schwab.

Fractional shares of stock are nontransferable, and 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.

If the assets you are transferring are considered nonstandard assets

at Schwab (such as limited partnerships), there will be set-up and

maintenance fees.

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.

On a mutual fund transfer where the fund is held directly with the

mutual fund company, you may utilize Section 6 of the Transfer Your

Account form to facilitate the liquidation (sell).

Can I liquidate my securities during the account transfer?

Buying and selling securities during the account transfer process may

complicate and delay your 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, you

should avoid trading during the transfer process. If you are concerned

about not being able to sell your stock during the transfer process,

please consider selling and waiting until you have received the proceeds

before entering the transfer request.

How do I transfer an annuity?

We recommend that you contact your existing insurer to verify the

status of any charges or benets before you proceed with your transfer/

exchange request. Please also note that, in order to process your

request, additional documentation and information may be required by

Schwab or the current insurer.

To transfer your annuity assets, a surrender or liquidation of your

annuity contract assets must generally occur. This may result in the

following consequences: surrender charges, loss of vested living

or death benets, taxable earnings and possible tax penalties. For

annuities not held in an IRA account, Section 1035 of the Internal

Revenue Code allows you to make a tax-free exchange of one annuity

contract for another annuity contract. Some annuities require the

submission of the original policy to complete a transfer; please consult

with your Insurance Company and submit the original policy if needed.

How do I transfer my company retirement plans?

Please consult with your plan administrator before initiating a transfer

request. Then, to roll over your 401(k) or another employer-sponsored

retirement plan, call a Schwab Rollover Consultant at 1-877-412-6116.

From lling out paperwork to answering your questions and helping you

work with your plan administrator, a dedicated Rollover Consultant will

personally manage the process for you from start to nish, making it

easy to roll over to a new IRA.

What about cost basis?

Schwab will update your 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 your obligation to conrm

the accuracy of the information Schwab receives from the delivering

rm by visiting Schwab.com or calling Schwab. Cost basis information is

intended for residents of the U.S. It may not be available or appropriate

for customers who reside outside the U.S.

Questions? Call 1-800-435-4000.

Thank you for investing with Charles Schwab.

Transfer Your Account: Additional Information

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