EFTA01268383.pdf

Account Transfer Form
Ameritrade
1D
Mail or Fax to:
PO Box 2760 • Omaha, NE 68103-2760
Fax: 866-468-6268 Receiving Firm DTC Clearing Number: Stlea
Instructions: Attach a complete copy of your most recent statement, of the account you are requesting the transfer from,
(dated within 90 days) in order for the transfer to be processed. Please submit the completed form to TD Ameritrade Attn:
TD Ameritrade, PO Box 2760, Omaha, NE 68103.2760 or fax to 866468.6268.
"if you are requesting to transfer from your Qualified Retirement Plan, please contact your plan administrator; INs form may not be required.
If you are transferring between Iwo TO Ameritrade accounts, please use the Internal transfer form. Please note you cannot use this form
to transfer from a standard checking account and for savings account from a bankfcredit union. For IRAs, and Beneficiary IRAs where the
original owner was 70,4 years or older at death, please attach a copy of your end of year statement to enable us to calculate the required
minimum distribution for the account.
1. ACCOUNT INFORMATION 2. PLEASE PROVIDE INFORMATION ABOUT THE
Your TD Ameritrado Account ACCOUNT TO BE TRANSFERRED
(The registration of the account being transferred should match your (As directed in Section 1b oth registration and Tax los for the
TO Ameritrade account and the Tax ID for both the TO Amentrade TO knocked° account and account being transferred should match.)
account and account being transferred.)
Account Number ' • Account Number ( ulred
(Onty one per form (Only one per form)
Account Fterastrati Account RegIsuatIonaltle.
SOUTHERN FINANCIAL LLC SOUTHERN FINANCIAL LW
Social Security/Tax ID Number. Social Securityfrax ID Number:
Social Securay/Tax C Number: Social Seconty/Tax ID Number
(Secondary, If °operable) (Seconclar)i if applicable)
ConinuDeilvering Form Name (Required):
Account Type (select one)
Deutsche Bank
Joint
DInclovidual - (Non IRA) ['SIMPLE IRA Conue/Deiverong Fern Address:
['SEP IRA 345 Park Ave, 26th Floor, NY, NY 10154
TTrruusstt ['Traditional or Rollover IRA
0Corpeusiness ['Roth IRA
EIUGAUVUTMA O Beneficiary IRA
Account Type (select one)
O 403B O Beneficiary Roth IRA
O 0ther: DEstate O lndividual - (Non IRA) OSIMPLE IRA
DOualified Plan ("See above) OSEP IRA
OTrust ElTraditionai or Rollover IRA
0Corp/BusIness
['Roth IRA
DOGMA/IRMA ['Beneficiary IRA
O 403B ElBenelidary Roth IRA
['Other: ['Estate
['Qualified Plan ("See above)
If the registrations do not match, you may either establish a new account online at www.tdameritrade.com or you must supply additional
documentation and all delivering account owners must sign section S For unlike titlelregistratIon Winer please call the transfer department
at 888-723-8504 for additional requirements. 'Please note if there are any issues with processing your transfer, we will communicate that to
you via your secure message center when you log in to your account.
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3. TRANSFER INSTRUCTION
Please review the following instructions and complete the proper section(s) for your transfer request. Only one sub-section (such as. A. B. C, or O)
can be selected per transfer.
Cheek box for Full or Partial Transfer. Only whole shares can be requested, as fractional shares cannot be transferred. Please contact the
delivering firm regarding your options. For Partial Transfers. kst descriptions of assets and shares. Unless otherwise indicated. TD Ameritrade
will transfer in Full.
Please note—TO Ameritrade cannot request Mutual Funds held at Brokerage Firms to be liquidated. To place trades for liquidation,
please contact the delivering firm prior to submitting the transfer request. Some money market funds are self-liquidating. To liquidate
others, please contact the delivering firm.
A. BROKERAGE FIRM TRANSFER
Full Transfer—To transfer entire account, check here and then skip to the Signature Section 4, and complete Section 5 andfor Section 6
(il applicable).
Et
Partial Transfer-List specific security and/or cash amount in the lines given below If bonds are being transferred. please supply the
Bond CUSIP.
Only whole shares can be requested as fractional shares cannot be transferred. Please contact the delivering firm egarding your options.
Asset Description (CUSIP or symbol) Quantity Asset Description (CUSIP or symbol) Quantity
(Partial Transfers Only) (Indicate a of whoa, shams (Partial Transfers Only) (Indent* I of ends shams
or -ALL') or "ALL)
ASNA 70500
FMI 49830
SGMO 50000
B. MUTUAL FUND COMPANY TRANSFER
Full Transfer—To transfer entire account, check here.
Partial Transfer—List specific mutual funds in the lines given below.
Cheek box for in-kind or Liquidation Transfer. Please list the Symbol or CUSIP for the Mutual Fund(s) you wish to move.
Unless otherwise Indicated, TD Ameritrade wit transfer shares in-kind. This section pertains only to shares of Mutual Funds held directly
with the fund company, for brokerage accounts containing Mutual Funds and/or Stocks please complete the Brokerage Firm Transfer section
(Section 3A, above).
'Proprietary Mutual Funds and all no-load Money Market funds cannot be transferred in-kind and mus be liquidated.
Quantity Handling Gains & Dividends
Fund Name or Symbol Mutual Fund Account a
/mai:area of shares or ALL') (Chet* one) (Check one 11ln-tend)
• n-Kind °Reinvest
°Liquidate OCash
II n-Kind AReinvest
• Liquidate Cash
O In-Kind • Reinvest
°Liquidate • Cash
RIn-KR• inedl rwest
Liquidate EICash
Oln-Knd OReirwest
II Liquidate °Cash
'If you are transferring more funds than will fit above, please include an attached list for the complete list of funds. OWire
A statement MUST be included to ensure proper handling and processing of your Mutual Fund transfer. (fees may apply)
• Unless otherwise indicated, I authorize the Transferor to liquidate any non-transferable proprietary money market 0 Check
and mutual fund assets that are part of my account and to transfer the resulting credit balance to my account with
TO Ameritrade. If the fund is unable to be held by TO Ameritrade, I (please initial here) authorize the Transferor
to tiquidate and transfer as cash.
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C. BANK/CREDIT UNION 8, ANNUITY/LIFE INSURANCE TRANSFER
Transfer cash only. Unless otherwise indicated, all cash will be transferred. Banks, Insurance/Annuity, and Trust Companies require
Original Client Signature. Please mail the Original form to complete the transfer request.
'Each secficn will have additional information.
IRA Savings Accounts— Typically held with Bank/Credit Union.
❑Total Transfer (Transfer entire account) ❑Wire
gees may apply)
q Partial Transfer (Transfer part of account) Portion to transfer $ q Check
Certificates of Deposit (CDs).
❑Redeem my CD immediately.
I am aware of, and acknowledge, that am responsible for any penalties that I may incur from any early withdrawal.
❑Redeem my CD at maturity. Maturity Date:
Submit request al least 21days prior to maturity. Please advise your bank not to roll over your CD to a new term.
Indicate in this section whether vu wish to liquidate the CD Immediately or at maturity. For any investment instruments that have a renewal
deadline, maturity date. surrender charge periodlwindow, etc., paperwork must be received by TO Amentrade in good order three weeks
prior to the firm deadline to allow for proper processing times. To liquidate a CD held In a non-retirement account, contact the bank or
credit union at which the assets are being held.
Annuity! Life Insurance Transfer
❑Transfer
my Life Insurance
I have a life Insurance policy that I wish to transfer. Please redeem and terminate on my behalf.
I am aware of and acknowledge, that I am responsible for any penalties that! may incur from
any early withdrawal.
❑Transfer my Annuity
O Full 0 Partial $
❑wire
I have an annuity policy that I wish to transfer. Please redeem and terminate on my behalf gees may aP0W
I am aware of, and acknowledge, that dam responsible for any penalties that I may incur from q Check
any early withdrawal.
Select only one: Liquidate annuity in Mt or partial liquidation. If partial is selected, amount for partial must be included. Contact the
insurance company to determine whether surrender forms are required before submitting the transfer form to TO Ameritrade. Attach
surrender form if applicable. TO Ameritrade is not responsible for the timing or execution of liquidations processed by the delivering firm.
D. TRANSFER AGENT
Check box for In•kind transfer from a Transfer Agent. This section is specifically for transfers from a Transfer Agent via the Direct
Registration System or DRS transfer. DRS transfers must be between like•titled accounts. Please provide the MOST recent copy of
your delivering account statement dated within 90 days.
'Note: All shares MUST be held in Book-Entry form at the Transfer Agent, prior to initiating the transfer:
q Transfer all of my WHOLE shares to my TO Ameritrade account and liquidate any fractional shares.
understand the cash proceeds of any liquidation will be mailed directly to the address on file for my account. This option will leave
your account open at the Transfer Agent.
q Transfer all of my WHOLE shares to my TD Ameritrade account and liquidate any fractional shares.
I understand the cash proceeds of any liquidation will be mailed directly to the address on file for my account and close my account at
the delivery firm.
q Transfer all of my WHOLE shares to my TD Ameritrade account Do not liquidate any fractional shares in my account.
I understand my account at the delivery firm will remain open and I will continue to accrue shares if lam enrolled in a DRIP program.
q Transfer only Part of the assets listed (below).
I understand my account at the delivery firm will remain open and I will continue to accrue shares if I am enrolled in a DRIP program.
Share Amount
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4. TO AMERITRADE CLIENT AUTHORIZATION
All TD Ameritrade account holders (clients or trustees) as indicated by the account registration must sign this section.
Unless otherwise indicated in the instructions above, please transfer, in-kind, all assets into my account with TD Ameritrade. I understand that
the extent any assets in my account are not readily transferable. with or without any penalties. such assets may not be transferred within the time
frames required by applicable regulations. I understand I will be contacted by the carrying and/or receiving firm with regard to any assets that are
not transferable. I authorize the Transferor to deduct any outstanding fees due to transfer from the credit balance. or if the credit balance in the
account is insufficient to satisfy any outstanding fees. If certificates or other instruments in my account are in your physical possession, I instruct
Transferor to transfer them In good deliverable form. Inducting affixing any necessary tax waivers, to enable the successor custodian to transfer
them in its name for the purpose of sale. when and as directed by me. I understand that upon receiving a copy of this transfer instruction. for a
full account transfer. Transferor will freeze my account and cancel all open orders. I also understand that no new orders may/wil be taken. I affirm
that I have destroyed or returned to the Transferor all crediUdebit cards and/or unused checks issued to me in connection with my account.
If this TO Ameritrade account is a • ua nt account. I have amended the applicable plan to designate the successor custodian.
Alternatively, if this T e account Is a ndivldual Retirement Account (IRA). I have adopted an IRA plan so that it names the
successor custodian.
XClient Signature: r's t? 5_07o
XCo-Owner's Signature: Date:
XCo-Owners Signature: Date:
XCo•Ormers Signature: Date:
5. REGISTRATION DIFFERENCES AND DELIVERY ACCOUNT OWNERS' SIGNATURES
'Note: this section is not applicable to transfers requested in Section 3.0, requests to transfer from a Transfer Agent, which must be like-titled.
Registration Difference
For urdike titled or type transfers, I authorize the transfer from account to account.
All parties on the delivering account must sign belay,
XClient Signature Date
XClient Signature: Dale
1( Client Signature: Date
6. ONE AND THE SAME LETTER
If you are transferring an account, and the name(S) at TO Ameritrade do not exactly match but are still one and the same person, please complete
this section. This section should be utilized if your name has changed due to one or more of the following: Marriage, Divorce, Name Spelling Error,
or any type of Name Change including Jc. Sr. etc. If last name difference, must supply legal documentation: that is, state issued driver's license.
passport, or government ID.
(please print name), am One and the Same as "
(please print name) as shOwn on the delivering firm account.
Please sign name BOTH ways.
XSignature: XSignature:
7. LETTER OF ACCEPTANCE (FOR OFFICE USE ONLY)
The undersigned organization agrees to serve as successor custodian for the account of the above-named individual, and as custodian, we
agree to accept the assets being transferred.
XRepresentative Signature: Date:
Representative Printed Name:
For TD Ameritrade Clearing. Inc. use only
Please be advised that TO Ameritrade Clearing, Inc. is an "Approved 403(b)(7) Vendor and/or has entered into an Information Sharing
Agreement with the Employer for the above-captioned 403(b)(7) account. The Employer/Agent Signature above hereby authorizes
TD Amerivade Clearing. Inc. to accept this exchange.
Investment Products: Not FDIC Insured • No Bank Guarantee ' May Lose Value
TD Ameritrade. Inc. and TO Ameritrade Clearing, Inc., members FINRAISIPC. TO Ameritrade is a trademark jointly owned by
TO Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. CI 2016 TD Ameritrade IP Company, Inc.
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