Fillable Transfer Of Assets Form - Fidelity Investments printable pdf download

Transfer of Assets

Instructions

Use the following form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Brokerage

Services LLC (“Fidelity”).

Helpful to Know

• Use one form for each account you’re transferring.

• Do NOT use this form to:

• Transfers can create legal issues (especially around

- convert an IRA to a Roth IRA.

beneficiaries and form of ownership) as well as tax issues

- rollover from a 401(k), 403(b) or other workplace plan.

and financial risks. Consult the appropriate professionals

- transfer from a non-retirement checking account.

before making a transfer.

- transfer from one account to another account at Fidelity.

• Avoid delays! Attach all pages of a recent account

statement!

1. Receiving Account Information

4. Signatures and Dates

List ALL names EXACTLY as they appear on this account. Check

All owners of BOTH accounts must sign and date in the

the appropriate box for the type of brokerage account held at

signature section. If an owner’s name appears differently on

Fidelity. All account owners of this account must sign the form

different accounts, that owner must sign both ways.

in Section 4.

Registration Differences Requirements

2. Account Being Transferred

If there is ANY difference in the owner name(s) or account

type between Section 1 and Section 2, you must take the

List ALL names EXACTLY as they appear on this account. Check

following steps:

the appropriate box for the type of brokerage account held

Non-retirement Accounts: If the difference(s) between your

at Fidelity. If you are transferring a Qualified Plan, the options

Section 1 and Section 2 information are listed below, attach

under the Fidelity Retirement Plan include Self-employed

any documents indicated. If the difference is not listed, contact

401(k), Profit Sharing and Money Purchase plans. All account

your Authorized agent/Advisor for instructions BEFORE you

owners of this account must sign the form in Section 4.

submit this form. In either case, all owners must sign this

3. Transfer Instructions

form in Section 4, and read the Account Owner Terms and

Conditions.

Brokerage or Trust Company Transfer

If you are transferring an entire account that has margin and

Retirement Accounts: Contact your Authorized agent/Advisor

options trading privileges, you must also apply for options or

for instructions BEFORE you submit this form.

margin to transfer positions that require options or margin.

Examples of Registration Differences

Mutual Fund Company Transfer

Provide all fund account numbers if they are different than the

Differences Between Accounts

Documents to Attach

account number provided in Section 2.

Certain proprietary mutual funds may not be eligible for in-kind

Last name changed

Marriage/divorce certificate

transfers and must be liquidated.

First/middle name changed or

Letter explaining difference

listed differently

Bank or Credit Union Transfer

Do NOT use this form to transfer a non-retirement bank

One account is joint, the other

None

checking account. If you are liquidating a CD at maturity,

is individual

submit your request at least 21 days, but no more than 60 days,

Different trustee(s) listed

Updated trust document

before maturity, to ensure that we can process your request.

Annuity Transfer

Contact the annuity firm or your Authorized agent/Advisor for

additional requirements before you submit this form.

Transfer Agent Transfer

Complete this section to transfer shares held electronically

with the transfer agent. Certificated shares are not eligible for

transfer. Contact your Authorized agent/Advisor for deposit

instructions.

Transfer Of Assets Form - Fidelity Investments

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