Broker Transfer Services

Instructions for preparing accounts to be transferred

What I need from you.

Cover Letter: Please choose a letter(s) from those available at your new firm and attach.
Sample signature: Please attach a sample signature on a piece of plain white paper. Sign in heavy ink.
Information needed: Name, address, social security number and date of birth.
Preparing the Statements: This is a key part in making this an easy transition!! Please put the following information at the top of "each" statement. One statement only for each account.
- Salutation: it would be advisable to note Mr., Mrs., Miss or Ms. if you are using a formal salutation.
- Margin Accounts: Mark with an "M'
- Option Accounts: Mark with an "O"
- Check Writing: Type of Account.
- Householding: Write HH on top statement. Staple all statements together and write on the first statement how many accounts you have stapled together. (Always continue to write on each statement the above pertinent information).
- Any other special information I would need to know.
- Please have all accounts in alphabetical order.
Branch stationary.
Envelopes: 10 x 13 and postage paid return 9 x 12.

Please complete our online form.

Name:

Anticipated Completion Date:

Phone numbers where we can reach you

Business:

Home:

Alternate Contact:(wife, husband, etc.)

Alternate Contact Phone:

New firm: Name & address

New firm contact: (for forms etc)

Direct

Toll Free

Fax

Where should we send your completed project?

Alternate Address (enter below)

What overnight service should we use?

UPS FedEx Airborne Other

Do you want us to use a corporate overnight service account number?
If so please list their number

Approximate Number of Accounts to be transferred:

Estimate the number of accounts you have for each category for ordering supplies

Retail:

Business:

Trust:

IRA:

Roth IRA:

Education IRA:

Money Purchase/Profit Sharing (Prototype) Plans:

Notes:

Limited Partnerships: All limited partnerships require their own paperwork and many require a fee to process changes, so nothing is prepared to be sent on these.

Managed Accounts: We normally do not send the additional paperwork for managed accounts as this must be filled out prior to sending to the client. You can include this paperwork when we return the packages.

Broker/Dealer Change Letter for Outside Mutual Funds & Annuities: If you want us to send broker/dealer change letters, please give us copies of the statements when we receive your regular statements. These do not have to be in any particular order, however only one statement per account is required per position.

Profit Sharing, Money Purchase, Defined Benefit, etc. Plans: Mark either "self trusted or Prototype". We will assume they are self-trusted unless otherwise indicated.

Questions?

Please do not hesitate to contact us if you have any questions regarding how to prepare your statements or how the transfer is progressing.