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Things to Know - Account Transfer FormQuestions: Call (1-800-872-3377), we are here to help 24 hours a day, 7 days a week.Before you get started with completing the form Include your most recent statement from your current firm. Know the type of delivering firm (Bank, Brokerage, Mutual Fund, or Trust Company).Send the completed form in for processing: Attach a copy of your most recent statement from the account you are transferring. Attach any necessary documents if account titles are different (name changed or listeddifferently). Fax To: Account Transfers 844-879-0941 OR Mutual Fund Direct Transfers 844-879-0215OR Mail: Wells Fargo Advisors, Attention: MAC N9160-01P, PO BOX 77046, Minneapolis,MN 55480-9902Frequently Asked QuestionsThis form is used for what types of transfers? Partial or full transfersCash from Bank Certificates of DepositsMutual Fund Direct Transfers – in-kind and liquidationAssets from banks, brokerage firms, and trustcompaniesHow do I transfer an account with differenttitles, registration, or change of ownership?The Client Account Transfer form can be used for achange in registrations for non-retirement accounts butcannot be used for a change in retirement accounts.The Client Account Transfer form does not support thefollowing transfer types. These types of transfers arebest initiated by contacting your current firm. Gifting of securities Trust Distributions Deceased Client Transfer ProcessingHow long will my transfer take? Most brokerage transfers: 5-7 business days Directly held Mutual Funds: 10-15 business days Bank Certificate of Deposits (CDs): 10-15 businessdays Securities held with Banks or Trust Companies(Manual Transfers): 30-60 business daysWhat process occurs if an asset cannot beheld in my account?We will notify you and provide available options,including selling the asset and transferring as cash orkeeping the asset at your previous firm.Will my fractional shares be transferred?Fractional shares of stock/equity are not transferableand will be liquidated when requesting all shares.Mutual fund fractional shares are transferable.Can I liquidate my securities during thetransfer process?When an account is in the transfer process, thedelivering firm usually “freezes” the account. Thismeans no trades will be permitted until the transfer iscompleted. If you are concerned about not being ableto sell your stock during the transfer process, pleaseconsider selling and waiting until you have receivedthe proceeds before entering the transfer request.This form does not support the followingtransfers: 529 Plans Checking and Savings Account with exception ofIRA Retirement Saving Accounts from Wells FargoBank. Employer Plans 401(k) or 403(b) – contact yourformer employer or retirement plan providerinstructions. IRA to a Roth IRA conversion and Roth IRA to IRArecharacterization. Liquidation of asset(s) with exception of bank CD ormutual fund shares held directly at the mutual fundcompany. Contact your current financial institutionto liquidate the assets prior to completing thisform. Mutual Funds where Wells Fargo Advisors does nothave a selling agreement with the fund company. Proprietary Products such as Mutual Funds, MoneyMarkets, etc. Reportable distributions from Retirement Accounts. Shares held at the Transfer Agent (DirectionRegistration). Examples are Computershare andBNY Mellon.Investment and Insurance Products are: Not Insured by the FDIC or Any Federal Government Agency Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate Subject to Investment Risks, Including Possible Loss of the Principal Amount InvestedWells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, a registered broker-dealer and non-bank affiliate of Wells Fargo& Company.593314 (Rev 08 – 04/20)
PrintTo print a blank form, check here:SUB FIRM: 205ACATRECDOC CODE:ACCT:Clear(OFFICE USE ONLY)Client Account TransferPlease use this form to transfer securities and/or funds from another financial institution.Section 1Tell Us About Your Brokerage AccountEnter the detailsof the receivingaccount.Brokerage Account Number(Required for WellsTrade and Intuitive Investor Accounts)Social Security Number/Taxpayer ID NumberAccount Name(s) (e.g., John Doe, John and Mary Doe, The Doe Family Trust - John Doe and Mary Doe, Trustees)Account Type (e.g., Individual, Joint, Trust, UGMA/UTMA, IRA, Inherited IRA, Roth IRA, or Other – specify type)Section 2Tell Us About The Account You’re TransferringComplete all fields.Refer to yourstatement.From Account NumberEmployer Plansrequire their ownpaperwork.Name of Firm, Bank, or Mutual Fund Company you are transferring fromAccount Name(s) (as it appears on your account/most recent statement at the delivering firm)Account Type (e.g., Individual, Joint, Trust, UGMA/UTMA, IRA, Inherited IRA, Roth IRA, or Other – specify type)Section 3Tell Us What You Want To TransferComplete A or B.A. Annuity, Bank, Brokerage Firm or Trust Company - Check One Box OnlyCheck eitherFull, Partial,Certificate ofDeposit, orAnnuity.Full – Transfer My Entire Account In-Kind (this includes cash).Partial – The section below is used for Partial Transfers ONLY.Cash Amount and/or the assets listed below.QuantitySecurity Name, Symbol, or CUSIPWrite ALL or Number of Shares(Located on your current statement. The CUSIP is 9 characters long.)Attach a separatesigned page foradditional assets.Certificate of Deposit (CD) – held at a Bank (including Wells Fargo Bank)I/We authorize the CD(s) to be liquidated immediately and acknowledge there may be a penalty and/orsurrender charge for a full liquidation. If within 4 weeks of maturity, liquidate at maturity.Annuity Liquidation – Immediately and entirely. I am aware there may be a penalty.Annuity Liquidation – Percent or AmountUse one formper Mutual FundCompany.B. Mutual Fund CompanyMutual Fund AccountNumber(s)Attach a separatesigned page foradditional funds.Transfer dLiquidateQuantityWrite All, Numberof Shares, orDollar AmountFund Name,Symbol, or CUSIPLocated on your currentstatementCashDividends/Capital GainsIf not checked,it will default toreinvestInvestment and Insurance Products are: Not Insured by the FDIC or Any Federal Government Agency Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate Subject to Investment Risks, Including Possible Loss of the Principal Amount InvestedWells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, a registered broker-dealer and non-bank affiliate of Wells Fargo& Company.593314 (Rev 08 – 04/20) Page 1 of 5
SUB FIRM: 205DOC CODE:ACATRECClient Account TransferPage 2 of 5ACCT:(OFFICE USE ONLY)Section 4Sign and Date - All Owners of All Accounts Must Sign and DateIncludesupportingdocumentationif account titlesare different.The undersigned acknowledges that I/We have read this form in its entirety and understandand agree to be bound by this Account Transfer Form and the Terms and Conditions locatedon page 3 herein. Statement. I have attached a copy of my most recent account statement from mycurrent financial institution. One and the Same. If an owner’s name appears to be different between the titling ofthe current account and the new Wells Fargo Advisors brokerage account, that ownermust sign under both names to certify they are one and the same and there isno change in ownership. Different Registration. If this transfer contains a change in registration and/orownership, I/We understand and accept the change in registration and ownership andhold Wells Fargo Advisors and the delivering firm harmless from acting on the aboveinstructions. All authorized signer(s) on the current account and your new WellsFargo Advisors brokerage account must sign.Name change ordifferent name:must sign asappears on bothaccounts (e.g.,marriage, divorce,first/middle namechanged or listeddifferently).I UNDERSTAND AND ACKNOWLEDGE THAT INVESTMENTS AND INSURANCE PRODUCTS IN MYBROKERAGE ACCOUNT: ARE NOT INSURED BY THE FDIC OR ANY FEDERAL GOVERNMENT AGENCY ARE NOT A DEPOSIT OR OTHER OBLIGATION OF, OR GUARANTEED BY, THE BANK OR BYANY BANK AFFILIATE ARE SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF PRINCIPAL AMOUNTINVESTEDAccount Owner/Trustee SignatureXAccount Owner/Trustee SignatureXAccount Owner/Trustee SignatureXAccount Owner/Trustee SignaturePrint NameDate (mm/dd/yyyy)Print NameDate (mm/dd/yyyy)Print NameDate (mm/dd/yyyy)Print NameDate (mm/dd/yyyy)X*If additional signature(s) are required, attach a separate signed sheet.OFFICE USE ONLYClient Identification/Signature Validation – All Liquidations and Mutual Fund Direct Transfers OnlyCheck one of the four validation options:1.2.3.4.Client personally known to meValidated government-issued photo ID (when client is present)Compared signature to imaged documentsVerbally confirmed two of the following (when client is not present)Signature GuaranteeSocial Security number or tax identification numberDate of birthHome telephone numberRecent account activityI certify that I validated the client’s identity and/or signature viathe method indicated above. I further certify that the client hasthe authority to execute the transaction.SignaturePrinted NameDate (mm/dd/yyyy)XCustodian AcceptanceWells Fargo Clearing Services, LLC has established a Non-Qualified or IRS-Approved RetirementCustodial Account Plan complying with IRS articles I through VIII as on Form 5305-A. We herebyaccept the transfer of assets from your firm’s account according to the client signed instructions.Successor Custodian SignatureTitleReceiving Account Type:Date (mm/dd/yyyy)XSubmit your completed form to: Wells Fargo Advisors, Attention: MAC N9160-01P, PO Box 77046, Minneapolis, MN 55480-9902Or Fax to: Account Transfers: 844-879-0941Mutual Fund Direct Transfers: 844-879-0215593314 (Rev 08 – 04/20)
Client Account TransferPage 3 of 5Terms and ConditionsI/We Instruct the Delivering Firm to: If this account is a qualified retirement account, Ihave amended the applicable plan so that it namesWells Fargo Clearing Services, LLC as successorcustodian. Unless otherwise indicated in theinstructions above, please transfer all assets in myaccount. Transfer my account to Wells Fargo Advisors asinstructed on this form, even though my Wells Fargobrokerage account may have a different account titleor different taxpayer identification number than thedelivering firm. Liquidate any nontransferable proprietary moneymarket fund assets that are part of my account andtransfer the resulting credit balance. Deduct any outstanding fee from the credit balance inmy account. If my account does not contain a creditbalance, or if the credit balance in the account isinsufficient to satisfy any outstanding fee, I authorizeyou to liquidate the assets in my account to theextent necessary to satisfy the obligation. Transfer any certificates held in the firm’s physicalpossession in good deliverable form, including affixingany necessary tax waivers, to enable the successorcustodian to transfer them in its name to enable themto be sold when and as directed by me. If this is a full/complete account transfer, pleasefreeze my account when this transfer is validated,including canceling all open orders and not permittingany new orders from the account being transferred(except for transactions closing option positions thatexpire within 7 days or the sale of nontransferableassets). Revocation of Advisory Agreements: I authorizeyou to discontinue all account managementagreements immediately. I will have soleresponsibility for investment decisions with respectto the securities, cash, and other assets in myaccount until I hire a new investment manager.I/We Acknowledge: If an owner’s name appears to be different betweenthe titling of the current account and the new WellsFargo Advisors brokerage account, I have signed alldocumentation under both names to certify they areone and the same. Certain assets in my account may not be readilytransferable, with or without penalties, within the timeframes required by FINRA Rule 11870 or a similar ruleof another designated examining authority. Credit/debit cards and/or unused checks issued to mein connection with my securities account have beendestroyed or returned to the delivering firm. I understand that you will contact me with respect tothe disposition of any assets in my securities accountthat are nontransferable.593314 (Rev 08 – 04/20) Fractional shares of equity/stock will not transfer inkind and will require to be liquidated to complete aFULL transfer. Wells Fargo Advisors is not responsible for changesin the value of assets that may occur during thetransfer process. I/We are aware of any potential tax or financialimplications that may arise in connection with thistransfer or with the sale or liquidation of assets priorto transfer, including penalties, fees, financial losses,or losses of product features or benefits. Margin Agreement – If the client-signed MarginAgreement has not been received by Wells FargoAdvisors, my account may be subject to restriction,sellout, and closure after review by the Credit MarginDepartment.Retirement AccountsAn IRA account has been established namingWells Fargo Clearing Services, LLC as SuccessorCustodian. Simple IRA to Traditional IRA Transfer – Iacknowledge I have met the 2-year waiting period.IRA Direct Rollover from Qualified Retirement Plan(QRP) – The IRA custodian is not responsible forproviding you with tax or legal advice. Therefore,you acknowledge you have been advised to see a taxprofessional and no broker or other employee hasgiven such advice.Cash SweepI/We consent to having uninvested cash included inthe Wells Fargo Advisors Cash Sweep Program. Formost accounts, the Bank Deposit Sweep will be usedfor uninvested cash balances, for which no interestis otherwise earned or paid. Accounts not eligiblefor the Bank Deposit Sweep, such as accounts forbanks, credit unions, mutual fund and insurancecompanies, and government entities will sweep to aMoney Market Mutual Fund, which may be affiliatedwith Wells Fargo Advisors. Wells Fargo Advisorsmay charge fees and receive certain benefits on thecash sweeps. I/We further acknowledge that if WellsFargo Advisors changes the Cash Sweep Programon my/our account I/We will be provided with priorwritten notice. Bank Deposit and Money MarketMutual Fund sweeps are subject to different risksand account protection. The Bank Deposit Sweep issubject to FDIC insurance and Money Market MutualFunds are covered by SIPC. Details about the WellsFargo Advisors Cash Sweep Program, including thedifferent risks and enhanced account protection, arecovered in the sweep program disclosure statementwhich will be included in your new account packageand can be found online at unt-services/cash-sweep.htm.
Client Account TransferPage 4 of 5Key Items to Consider Before Transferring an AccountOur Products and ServicesOther ConsiderationsWhether you are considering a full or partial transfer,it is important to consider that not all firms offer thesame investment products and the costs associatedwith those products may differ. You should fullyunderstand the products and services available byeither working with a Financial Advisor or reviewingit for yourself at www.wellsfargoadvisors.com. Ifyou will be liquidating any assets at your previousfirm, and/or upon the transfer of your account, theremay be fees or taxes as a result of the liquidationthat should be considered before transferring youraccount. We recognize clients have many choices andif you choose to have your assets at multiple financialfirms, you should understand any impact that mayhave on your overall financial goals and the servicesoffered to help you meet those goals.Products and Costs are an important component ofyour overall financial picture, but if you tend to holda large percentage of cash or have borrowing needs,understanding the alternatives available and theapplicable interest rates are important as well.Our CostsAuction Rate Securities: Account TransferAcknowledgementIn addition to investment product costs,understanding the holistic costs associated with youraccount or household is also an important factor toconsider when transferring a portion or all of youraccounts. Costs can be either short term, event basedfees such as transactional based or termination fees,or they can be ongoing such as annual account oradvisory fees. Please discuss the fees associated withyour account or household with your Financial Advisoror review at www.wellsfargoadvisors.com to gain acomplete understanding of the costs associated withimplementing and maintaining your overall financialgoals.You should consider that brokerage accounts typicallyinclude investment-related expenses (such assales loads, commissions, expenses of any mutualfunds in which assets are invested, and investmentadvisory fees) and plan or account fees (such asadministrative, account set-up, custodial, and accessto a customer service representative). These feesand expenses will reduce the value of your accountand return on your investment, and over time,these costs can make a significant difference in youraccount value. It is your obligation to review andcarefully evaluate the specific features, including theadministrative fees and expenses of your existingaccount before you transfer the account. Additionally,if you have a Financial Advisor, they may receivecompensation related to your decision to transferyour account assets, creating a conflict of interest foryour Financial Advisor to recommend you transferyour account assets. If you have a Financial Advisor,you should carefully consider whether their advice isaligned with your investment strategy and financialgoals.593314 (Rev 08 – 04/20)Before you choose to transfer your account, the typesof service, support and online resources should beconsidered alongside the products and costs.AcknowledgementBy signing the enclosed transfer documents you areacknowledging that you have received the necessaryinformation to make an informed decision to transferyour account to Wells Fargo Advisors.Your auction rate securities were purchased priorto the transfer of your account to us. As a result,we are not responsible or liable for any priorrecommendations or advice with respect to thesesecurities nor are we under any obligation to provideyou with any investment recommendation or advicewith respect to the disposition or continued holding ofthese securities in your account following the transferof your account.We are not under any obligation to you (i) to provideloans under margin agreements or otherwise securedin whole or part by the auction rate securities in youraccount; (ii) to purchase or continue to purchaseany auction rate securities in periodic rate settingauctions or in secondary market transactions; or (iii)to provide liquidity for such securities. Many auctionsfor these securities are in failed status, meaningthat holders of these securities are not able to sellthese securities in the periodic rate setting auctionsor in secondary market transactions and as a result,liquidity for these securities currently is greatlyimpaired.Wells Fargo Bank, N.A. Agency AccountsThis document constitutes my instruction to WellsFargo Bank, N.A. to terminate the above-referencedaccount and transfer as instructed to Wells FargoClearing Services, LLC.
Client Account TransferPage 5 of 5Delivery InstructionsReceiving Firm Information:Wells Fargo Clearing Services, LLC (WFCS)Tax ID Number: 23-2384840ACAT Participant: 0141Contact Information:Account Transfer Department: 855-372-3526All deliveries MUST include the Client Name and WFCS 8 digit Brokerage Account NumberChecksIssue to:WFCS, LLCFurther Credit to:WFCS Client Name and AccountNumberORMail to:WFCS, LLCAttn: Cash ManagementMAC H0006-085One North Jefferson Ave.S
(Required for WellsTrade and Intuitive Investor Accounts) Account Name(s) (e.g., John Doe, John and Mary Doe, The Doe Family Trust - John Doe and Mary Doe, Trustees) Account Name(s) (as it appears on your accou
