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E*TRADE DTC Clearing Number: 0385
ACCOUNT TRANSFER FORM
Your Account Transfer can be competed in 5 easy steps:
1| Enter your E*TRADE account information (receiving account)
2| Enter your external account information (sending account)
3| Submit full account transfer or list assets to be transferred
4| Sign and date your application
5| Authorize transfers between accounts with registration differences (if applicable)
Please complete the following once your Account Transfer form is complete:
Print this form and confirm that it is filled in completely with all required signatures
Print a copy of your most recent statement for the account you are transferring and submit with this form (include all pages)
Complete and attach additional documents if required (see table below)
Send all necessary documentation to the appropriate mailing address or fax number below
Select one of the following to mail or fax all documentation:
Regular Mail:
E*TRADE Securities LLC
P.O. Box 484
Jersey City, NJ 07303-0484
Overnight Delivery:
E*TRADE Securities LLC
Harborside Financial Center
501 Plaza 2
34 Exchange Place
Jersey City, NJ 07311
- OR -
Within the U.S. Fax:
1-866-650-0003
Outside the U.S. Fax:
+1-678-624-6950
Note: Please include a Fax Cover Sheet when submitting documents
by facsimile. Notarized documents, Stock Certificates, and other forms
which require original documentation can not be submitted by
facsimile.
Additional documentation is required for the following types of transfer:
Transfers from this type of account:
To these types of accounts:
Require the following additional documentation:
Conservator
§
Individual
§
Proof of Age (e.g. Drivers License)
Custodial
§
§
§
Individual
Trust
Estate
§
Proof of Age
Estate
§
§
§
Individual
Joint
Trust
§
§
§
§
Death Certificate
Affidavit of Domicile
Letter of Testamentary
Copy of Will
Guardian
§
Individual
§
§
Proof of Age
Termination of Guardianship
§
§
§
§
§
§
§
§
§
Trust
Corporation
Investment Club
Trust
Investment Club
Partnership
Corporation
Investment Club
Partnership
§
Partnership Agreement
§
Corporate Agreement
§
Trust Agreement
Partnership
Corporation
Trust
Need Help?
Call 1-800 998-8130 to speak with an E*TRADE Account Transfer Specialist
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0115-ACCTTF1-P62400
E*TRADE DTC Clearing Number: 0385
ACCOUNT TRANSFER FORM
Use this form to move some or all assets from an account held at another firm to E*TRADE.
A separate transfer form is required for each account from which you are transferring assets (only one account number can be used per
form). Complete the form by typing on screen or print out and fill in using black ink.
This form should not be used in the following instances:
§ Charitable Donations: Use our Charitable Donations Form to make charitable donations or transfer a gift to an individual
§ 401(k) Rollover: Please call an E*TRADE Financial Consultant at 1-800-ETRADE-1 (1-800-387-2331) to roll over assets from a 401(k) or
other qualified employee-sponsored retirement plan
1
Enter receiving (E*TRADE) account information
E*TRADE Account Number
E*TRADE Account Name
Account Owner(s)
List all names
EXACTLY as they
appear on the
account
First Name (Primary Account Owner)
M.I.
Last Name
Social Security Number
First Name (Co-Account Owner)
M.I.
Last Name
Social Security Number
Trust or Entity Name (if applicable)
Tax ID Number (if applicable)
Non-Retirement Accounts
Select One
Recieving
Account Type
2
Retirement Accounts
Other
Individual
Joint
Traditional Rollover IRA
Trust
Investment Club
SIMPLE IRA
Inherited (Beneficiary) IRA
Estate
Partnership
Roth IRA
Inherited (Beneficiary) Roth IRA
Custodial
Corporate
SEP - IRA
SAR - SEP IRA
Other account type
Enter delivering (outside) account information
Outside Account Number
Name of Financial Institution
Financial Institution Phone Number
Account Owner(s)
List all names
EXACTLY as they
appear on the
account
First Name (Primary Account Owner)
M.I.
Last Name
Social Security Number
First Name (Co-Account Owner)
M.I.
Last Name
Social Security Number
Trust or Entity Name (if applicable)
Non-Retirement Accounts
Select One
Delivering
Account Type
Retirement Accounts
Other
Individual
Joint
Traditional Rollover IRA
Trust
Investment Club
SIMPLE IRA
Estate
Partnership
Roth IRA
Inherited (Beneficiary) Roth IRA
SEP - IRA
SAR - SEP IRA
Custodial
Need Help?
Tax ID Number (if applicable)
Corporate
Other account type
Inherited (Beneficiary) IRA
Call 1-800 998-8130 to speak with an E*TRADE Account Transfer Specialist
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0115-ACCTTF1-P62400
E*TRADE DTC Clearing Number: 0385
ACCOUNT TRANSFER FORM
3
List assets to transfer Complete only ONE of these sections (A, B, or C)
A
Transfer an account from a broker dealer, bank/trust, or transfer agent
Please see FAQ section (page 6) for instructions on transferring or liquidating mutual funds from your current broker dealer, bank/trust company
Select
One
Security
Symbol or CUSIP #
Full: Transfer all assets in the account
- OR -
(You do not need to complete the table below)
Quantity
(# of shares or ALL)
Security
Symbol or CUSIP #
Partial: Transfer only the assets listed below
(You must complete the table below)
Quantity
(# of shares or "All")
Security
Symbol or CUSIP #
Quantity
(# of shares or ALL)
Cash: Enter the amount of cash you are transferring from your outside account (if applicable):
(attach additional copies of this page if necessary)
B
Transfer an account from a mutual fund company
For information on which mutual funds can be transferred to E*TRADE, please visit etrade.com or call an Account Transfer Specialist for assistance
Select
One
Full: Transfer all assets in the account
- OR -
Partial: Transfer only the assets listed below
Unless otherwise indicated below, fund accounts will be transferred in-kind and future dividends and capital gains will be reinvested if the funds can be transferred to
E*TRADE. You must select 'Transfer Cash' if the fund cannot be transferred.
Fund Name
Fund Symbol
Fund Account Number
Quantity
(# of shares or "All")
Transfer Type
Future Dividends
and Capital Gains
In-Kind
Reinvest
Transfer Cash
Pay as Cash
In-Kind
Reinvest
Transfer Cash
Pay as Cash
In-Kind
Reinvest
Transfer Cash
Pay as Cash
In-Kind
Reinvest
Transfer Cash
Pay as Cash
(attach additional copies of this page if necessary)
Need Help?
Call 1-800 998-8130 to speak with an E*TRADE Account Transfer Specialist
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0115-ACCTTF1-P62400
E*TRADE DTC Clearing Number: 0385
ACCOUNT TRANSFER FORM
C
Liquidate a Bank CD / Money Market, Annuity, or Insurance Policy and then transfer as cash
Select a Method of
Disbursement
Check (Regular Mail)
Check (Overnight Mail)
Wire
(Delivery instructions listed below)
Liquidate CD immediately and transfer cash
Bank CD
I am aware of and acknowledge any penalty I may incur for early withdrawal
Liquidate CD on its maturity date
Initial here: ________
and transfer cash
Requests must be received at least 1 week, but no more than 3 weeks, prior to the CD maturity date
Money Market
Select
One
Liquidate Money Market immediately and transfer cash
I am aware of and acknowledge any penalty I may incur for early withdrawal
Liquidate annuity immediately and transfer cash
I am aware of and acknowledge any penalty I may incur for early withdrawal
Annuity*
Liquidate annuity on its maturity date
Partially liquidate ONLY the following amount of the annuity and
transfer as cash
Insurance
Policy
Initial here: ________
Initial here: ________
and transfer cash
Cash Transfer Amount
Liquidate and terminate my insurance policy immediately on my behalf Initial here: ________
* Note: To expedite liquidation and transfer of annuities, contact your annuity company to determine if they require surrender paperwork. If required, attach the
surrender paperwork with this form, your statement, and other required documentation.
4
Sign and date the application
To delivering firm: Transfer assets in my account to E*TRADE Securities LLC or its affiliates, as indicated. I understand that if assets in my account are
not readily transferable with or without penalties, such assets may not be transferred within the time frames required by the rules of the Financial
Industry Regulatory Authority, Inc. or other designated examining authority. I authorize you as delivering firm, to liquidate nontransferable proprietary
money market fund assets, deduct any outstanding fees due you, and transfer the resulting credit balance to the E*TRADE Securities account. I authorize
you as delivering firm, to liquidate assets in my account as necessary to satisfy outstanding fees due you. I instruct you to transfer certificates or other
instruments in my account in good deliverable form, including affixing any necessary tax waivers, to enable E*TRADE Securities to transfer them in its
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 affirm that I have destroyed or returned to you credit/debit cards and/or unused checks issued to me, if any, in connection with the account I am
transferring. I understand that you will contact me with respect to the disposition of any assets in my securities account that are nontransferable.
All account holders must sign and date the application.
✗
Print Name of Primary Account Holder
Signature of Primary Account Holder
Date
Signature of Co-Account Holder (if applicable)
Date
Signature of Additional Party (if applicable)
Date
✗
Print Name of Co-Account Holder (if applicable)
✗
Print Name of Additional Party (if applicable)
Need Help?
Call 1-800 998-8130 to speak with an E*TRADE Account Transfer Specialist
| Page
0115-ACCTTF1-P62400
E*TRADE DTC Clearing Number: 0385
ACCOUNT TRANSFER FORM
5
Authorize transfers between accounts with registration differences
A
Confirm that both accounts are owned by the same person even though the names are different (if necessary)
If the account owner names listed in section 1 and 2 of this application are not spelled EXACTLY the same but still refer to the same person,
please complete this section. For example if the names are different due to marriage, divorce, spelling errors, or inclusion/exclusion of middle
initial or suffixes (e.g. Jr, Sr, III), this section is needed to confirm that the owner is one and the same person. Please be sure to have this form
notarized or visit your local branch and a Branch Manager can assist you.
I,
(print name), am One and the Same as
Please sign name BOTH ways:
✗
✗
Signature
B
Signature
Authorize transfers between different types of accounts (if applicable)
If you are transferring between unlike (different) account types in section 1 and 2 (e.g. from joint to individual), please complete this section.
Transfers between unlike accounts must be authorized and may require additional documentation. See the cover page of this document to
review the list of additional documentation needed to transfer between unlike accounts or call E*TRADE to speak with an Account Transfer
Specialist.
I/we authorize E*TRADE Securities LLC to transfer the account listed in section 2 of this Account Transfer form into the E*TRADE Securities
account listed in Section 1.
All account holders must sign and date below:
✗
Print Name of Primary Account Holder
Signature of Primary Account Holder
Date
Signature of Co-Account Holder (if applicable)
Date
Signature of Additional Party (if applicable)
Date
✗
Print Name of Co-Account Holder (if applicable)
✗
Print Name of Additional Party (if applicable)
Individual to joint account transfers do not require notarization. All other transfers, including joint to individual transfers, between
unlike accounts must be notarized below.
Notarize the signatures in Section 5A or Section 5B of this form
If mailing this form, have the form notarized below:
FOR E*TRADE SECURITIES LLC USE ONLY:
NOTARY ACKNOWLEDGMENT:
State of:
___________________
County of:
____________________
Subscribed and sworn before me:
[seal]
______________________
____________
Date:
Signature of notary: _______________________________
My commission expires: __________
Need Help?
- OR - If completing this form at one of our branch offices, please bring
in a valid form of picture identification.
I have verified the Registered Owner’s signature against a valid
form of photo identification.
Signature of E*TRADE
Branch Manager
X _______________________
Date
____________
Print Name
X _______________________
Call 1-800 998-8130 to speak with an E*TRADE Account Transfer Specialist
| Page
0115-ACCTTF1-P62400
E*TRADE DTC Clearing Number: 0385
ACCOUNT TRANSFER FORM
Frequently Asked Questions
Question
Answer
How long will it take for my
account to transfer?
The majority of transfers take approximately 5 to 10 business days if the account transfer request is
sent via the Automated Customer Account Transfer Service (ACATS). Transfers that cannot be
completed via ACATS generally take 3 to 6 weeks to complete, but can take longer dependent upon
the delivering (contra) firm.
Why can't E*TRADE have my
positions liquidated at my
other brokerage firm and
transfer as cash?
Liquidation requests from another broker dealer cannot be submitted by E*TRADE. If you wish to
liquidate positions, please contact your delivering firm to liquidate the assets prior to submitting.
Once the assets have been liquidated, E*TRADE will be able to request the cash proceeds as part of
the transfer request.
How do I transfer mutual funds
from a broker dealer, bank, or
trust company?
If you would like all assets to be transferred in-kind, please select full transfer. If you would like
specific funds or share amounts, please select "Partial" and list the assets to be transferred. If
E*TRADE cannot hold these funds, they will need to be liquidated by the fund prior to transfer.
I have several mutual funds I
would like to transfer to
E*TRADE. How do I know if
E*TRADE can hold them?
You can verify fund transfer availability on etrade.com or call an E*TRADE Account Transfer Specialist
at 1- 800-998-8130.
For transfers where the titles do
not match, who has to sign the
paperwork and where?
All parties involved in the transfer are required to sign the application in Section 4 and the notarized
Letter of Authorization in Section 5b .
Need Help?
Call 1-800 998-8130 to speak with an E*TRADE Account Transfer Specialist
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0115-ACCTTF1-P62400
E*TRADE DTC Clearing Number: 0385
ACCOUNT TRANSFER FORM
For the Delivering Firm: Delivery Instructions
For the Delivering Firm: Delivery Instructions
Receiving Firm
Name and Address:
Tax ID Number:
E*TRADE Clearing LLC, P.O. Box 484 Jersey City, NJ 07303-0484
32-0012683
All DTC-Eligible Securities:
Deliver to DTC Clearing 0385, Code 40
Checks:
E*TRADE Clearing LLC, Attn: Cashiering Dept., P.O. Box 484
Jersey City, NJ 07303-0484
Dividend Reinvestment:
Issue a certificate for all whole shares, liquidate all fractional shares, and
discontinue dividend reinvestment
Physical Delivery of Securities:
E*TRADE Clearing LLC, P.O. Box 484 Jersey City, NJ 07303-0484
Book-Entry GNMA Securities:
BKNYC/ETG/ETRADE SECURITIES
Fed-Entry Securities (e.g., Treasury notes):
021000018 BK OF NYC/ETRADE
Fed-Wired Moneys:
Domestic:
E*TRADE Clearing
P.O. Box 484, Jersey City,
NJ 07303-0484
ABA: 056073573
Your eight-digit E*TRADE
Securities account number
Options Delivery Instructions:
International:
Wells Fargo Bank, N.A.
420 Montgomery Street
San Francisco, CA 94104
Swift Code: WFBIUS6S
FBO: E*TRADE Clearing LLC
ABA: 056073573
The amount of the incoming wire in U.S. Dollars or Foreign Currency
Your eight-digit E*TRADE Securities account number
Your name and address
Options Clearing Corp. 0385
All deliveries must include account holder name and E*TRADE Securities brokerage account number.
The E*TRADE Financial family of companies provides financial services that include trading, investing, and banking. E*TRADE Securities LLC,
Member FINRA. Accounts are carried by an affiliate, E*TRADE Clearing LLC, Member FINRA/SIPC. E*TRADE Securities and E*TRADE Clearing are
separate but affiliated companies.
© 2014 E*TRADE Financial Corporation. All rights reserved. E*TRADE Financial is a registered trademark and the E*TRADE Financial logo is a
trademark of E*TRADE Financial Corporation.
FOR E*TRADE SECURITIES USE ONLY
Mutual fund registration instructions:
E*TRADE Securities FBO (name)
Account Number
Tax ID 32-0012683
P.O. Box 484 Jersey City, NJ 07303-0484
Omnibus A/C
Letter of Acceptance for the Receiving Retirement Account Custodian (for E*TRADE Clearing LLC internal use only)
Our organization agrees to accept the funds listed, which are being transferred on behalf of the above-named individual(s). We agree to
serve as Successor Custodian of these assets.
✗
Successor Custodian Authorized Signature
Need Help?
Date
Call 1-800 998-8130 to speak with an E*TRADE Account Transfer Specialist
| Page
0115-ACCTTF1-P62400