Transfer of Securities from the Investors Account at the BrokerCustodian to the Investors Account at 2025

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  1. Click ‘Get Form’ to open it in the editor.
  2. Begin by entering the date at the top of the form. This is essential for record-keeping.
  3. In the 'Sequence' section, list each security you wish to transfer. Fill in the issuer’s name, security type, number of securities to be transferred, and security number for each entry.
  4. Provide your Broker/Custodian’s information by filling in their name and your investor account number.
  5. Next, complete the Investor’s Information section with your name, SDC number, and details of any authorized signatory if applicable.
  6. In the Agency Information section, select your agency type and provide relevant details including agent's name and nationality.
  7. Sign where indicated to confirm that all information is accurate. Ensure you also include any required official stamps.
  8. Finally, review all entries for accuracy before submitting through our platform for processing.

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The process can be done either manually using a Delivery Instruction Slip (DIS) or electronically through the depositories (NSDL or CDSL). Its crucial to follow the correct procedure and documentation requirements to ensure a smooth transfer. Contact your broker or depository participant for specific instructions.
Most transfers of customer accounts from one brokerage firm (the carrying firm) to another (the receiving firm) occur through the Automated Customer Account Transfer Service (ACATS), an electronic transfer system developed by the National Securities Clearing Corporation (NSCC) to automate and standardize the
How to transfer brokerage accounts Sell your investments. First, sell your investments to convert them to cash. Withdraw the money. Request a withdrawal to move the money from the sales into your bank account. Deposit into your new brokerage. Select investments.
To get started, select Move Money, then select Transfers Payments. Narrator: Select Online Transfers, then select the Move assets from my Schwab brokerage account form. Narrator: Carefully enter all required information in the form, paying close attention to the originating and receiving account details.
Schwab may link other accounts upon your request if account holders are in the same family and are living at the same home address, there is a dependent relationship, or in certain other similar instances at Schwabs discretion.
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The broker can walk you through the process if you have any questions. Remember, any money you transfer or investments you purchase in the brokerage account are yours, and you are free to sell your investments anytime.

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