©2016 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
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.
1
If you are opening a new
Schwab account, you can
leave the Schwab account
number eld blank.
2
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
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CC0818868 (1116-PPUL) APP13017-26 (11/16)
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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
Name, Symbol, or CUSIP # (stocks, bonds, money market, etc.) (partial transfers only) Number of Shares or “ALL
Name, Symbol, or CUSIP # (stocks, bonds, money market, etc.) (partial transfers only) Number of Shares or “ALL
Name, Symbol, or CUSIP # (stocks, bonds, money market, etc.) (partial transfers only) Number of Shares or “ALL
Liquidate Certicate 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
3
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.
4
You may only select
one choice.
You may be charged a penalty
for early withdrawal.
5
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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©2016 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
CC0818868 (1116-PPUL) APP13017-26 (11/16)
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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 36, 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 36, 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 afxing 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.
For Retirement Accounts: If this transfer of account is for a qualied 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 reafrm 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
o
nly o
ne box.
6
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.
7
Please read and sign on the
following page.
5. Surrender or Liquidate Annuity and Transfer Cash (If Applicable) (Continued)
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©2016 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
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 isnt 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, Sufx Print Name Last, Sufx
/
/
2 0
/
/
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, Sufx Print Name Last, Sufx
/
/
2 0
/
/
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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©2016 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
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.).
8
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.
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©2016 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. CC0818868 (1116-PPUL) APP13017-26 (11/16)
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 notied 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 efciently, 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 benets 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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©2016 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. CC0818868 (1116-PPUL) APP13017-26 (11/16)
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