Fillable Account Transfer Form - Scottrade (Page 3 of 3) in pdf

Frequently Asked Questions on Transfers

How long will the transfer take?

Full brokerage account transfers are sent via ACATS (Automated Customer Account Transfer Service) and take approximately 7-10

business days. Any residual balances that remain with the delivering brokerage firm after your transfer is completed should follow in 7-10

additional business days. Transfers that are not eligible to be entered on the ACATS system take at least 4 weeks to be completed upon

receipt of all necessary paperwork.

Will there be any transfer fees?

Upon receiving your transfer request, your previous institution may charge a fee that they will transfer to your Scottrade

account as a

debit and you are responsible for any fees transferred. Scottrade may charge you a fee for some foreign securities.

What about Mutual Fund transfers?

Fill out Section B of the form. There are some mutual fund companies with whom Scottrade has not established an agreement to hold a

particular mutual fund. You will have to contact the prior firm to have these funds liquidated. Some financial firms issue their own

(proprietary) mutual funds and these mutual funds cannot be transferred to Scottrade. You may, at your choosing, contact the prior firm

and liquidate these funds. There may be charges and expenses associated with liquidation. You should review the fund’s prospectus for

more information.

What about Limited Partnerships?

Scottrade can only transfer NYSE-traded LPs. For all other LPs, please contact your previous firm to either liquidate so proceeds will

transfer or have a certificate sent to you.

What about Annuity transfers?

Fill out section D of the form. We can only request liquidation for qualified accounts. Contact your existing insurer to see if they will need

any additional documentation, such as the original annuity contact. Also, please be aware that there may be a surrender charge involved

with liquidating the annuity.

What is a Transfer In Kind?

Transfer of shares held directly with the mutual fund company to a new Scottrade

brokerage account for the benefit of the client.

For Delivering Organization’s Use Only

Receiving Firm Information:

Scottrade, Attn: ACAT Dept.

USPS Mail to: P.O. Box 31759, St. Louis, MO 63131-0759

Overnight Mail to: 500 Maryville Centre Dr., St. Louis, MO 63141-5814

*Please note: If this is a mutual fund transfer, direct all inquiries to the Mutual Fund Department at 314.965.1555 ext. 1610, option 5.

Delivering Firms

Any questions regarding this form should be directed to:

Scottrade

ACAT Department

314.965.1555

Scottrade

Customers

Please contact your local Scottrade

branch office for assistance.

Delivery Instructions

(All deliveries MUST include the client name and Scottrade

Account Number)

DTC # 0705

All DTC Eligible Securities

FBO Client’s Name and Scottrade Account Number

Treasury Securities

Federal Reserve Bank – Cleveland US Bank, N.A./1020

ABA #042000013

For: Scottrade, Inc.

Acct. 348000097

Federal Reserve Bank - Cleveland US Bank, N.A./1020

Government Agency Securities

ABA #042000013

For: Scottrade, Inc.

Acct. 385000034

US Bank N.A. St. Louis, MO

Fed Wired Monies

Scottrade, Inc.

A/C#: 1001086162

ABA#: 081000210

FBO Client’s Name and Scottrade Account Number

Scottrade ATTN: ACAT Dept.

Checks-

P.O. Box 31759

Cash/Margin Account

St. Louis, MO 63131-0759

FBO Client’s Name and Scottrade Account Number

Checks-

Scottrade ATTN: IRA Dept

IRA Accounts

P.O. Box 31759

St. Louis, MO 63131-0759

FBO Client’s Name and Scottrade Account Number

Mutual Fund Registration

Scottrade

Cash/Margin Account

FBO Client’s Name and Scottrade Account Number

Mutual Fund Registration

Scottrade

IRA Accounts

C/F Client’s Name and Scottrade Account Number

Merrill Lynch

Foreign Securities

FBO Scottrade, Inc.

Please call Scottrade’s Stock Record Department at

1-800-888-1980 to establish trade and settlement dates.

Page 3 of 3

SF4000/5-16

Scottrade, Inc. - Member

FINRA

and

SIPC

Account Transfer Form - Scottrade Page 3

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