EFTA01268451.pdf

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Account Transfer Form
ID Ameritrade
Mail or Fax to:
PO Box 2760 ■ Omaha, NE 88103-2760
Far 866-468-6268 Receiving Firm DTC Clearing Number: 0188
Please use the Direct Registration System (DRS) Transfer Form TDA 100557 for transfer from a transfer agent.
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 Ann:
TD Ameritrade, PO Box 2760, Omaha, NE 68103-2760 or fax to 866-468-6268. To submit the completed and signed form(s)
electronically through our secure Message Center, scan It, along with any other material you're sending. Then log in to your
account and go to Client Services > Message Center to write us, and attach the scanned document(s) to your message.
nif you are requesting to transfer from your Qualified Retirement Plan, please contact your plan administrator; this form may not be required.
If you are transferring between two TD 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 bank/crack union. For IRAs, and Beneficiary IRAs vitere the
original owner was 7034 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
DELIVERING ACCOUNT
Your TD Ameritrade Account
(The registration of the account being transferred should match your (As directed in Section 1b oth registration and Tax Ws for the
TD Ameritrade account and the Tax ID for both the TO Amodtrade TD Ameritrade account and account being transferred should match.)
account and account being transferred.)
Account Number (Required): Account Number (Required):
(Onlyone per fon-n) 867.730320 Pnlinite per form) N46-023804
Account Regittrationfrille: Account Reciatraticoffile:
SOUTHERN FINANCIAL LLC SOUTHERN FINANCIAL LLC
Social Sealy/Tax HD Number solar IO Number:
86-0799192
Social Securky/Tax ID Number. Social Security ax ID Number
(Secondary a °moats& (Secondary, it appbcotio)
Contrainelivering Fern Name (Require*
Account Type (select one) DEUTSCHE BANK PRIVATE WEALTH MANAGMENT
Olndividual — (Non IRA) 0 Traditional or Rollover IRA ContraiDeltmeing Firm Addross'
ElJoint q Roth IRA
❑Trust
q Beneficiary IRA
Corp/Business q Beneficiary Roth IRA
❑UGMA/UTMA q Qualified Plan (401k, 403B, PSP, etc.) Contra/Delivering Frm Email:
❑Estate q SIMPLE IRA
q
SEP IRA
Account Type (select one)
❑Other:
❑Individual — (Non IRA) q Traditional or Rollover IRA
❑Joint q Roth IRA
❑Trust q Beneficiary IRA
q3 Corp/Business q Beneficiary Roth IRA
❑UGMNUTMA q Qualified Plan (401k, 4038. PSP, etc.)
❑Estate ❑SIMPLE IRA
0 SEP IRA
❑Other.
If the registrations do not match, you may either establish a now account online at www.tdameritrade.com or you must supply additional
documentation and all delivering account owners must sign section 4. For unlike tifielragistration trans fox please call the transfer department
at 888-723-8501, option 4 for additional requirements. 'Please note If there aro 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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To Ameritrade Acct 0 867-730320
3. TRANSFER INSTRUCTIONS-PLEASE COMPLETE ONLY ONE OF THE FOLLOWING SECTIONS (A,8, OR C)
A. BROKERAGE FIRM TRANSFER (Unless otherwise indicated, 7D Ameritrade will transfer in Full)
['Full Transfer—To transfer entire account, check here and skip to Section 4.
OPartial Transfer—List specific security and/or cash amount below. If bonds are being transferred, please supply the CUSIP.
Only whole shares can be requested as fractional shares cannot be transferred. Please contact the delivering firm regarding your options.
Asset Description (CUSIP or symbol) Quantity Asset Description (CUSIP or symbol) Quantity
(Partial Transfers OM (lnd/care N or w14/ 40 shares (Fames Transfers Only) Indicate fl of whole shams
or•ALL7 or ALL)
1. 04621XAK4 2,000,000 5. 30162RAA9 3,030,000
2. 172967J25 3,000,000 8. 361880208 80,000
3. 172967341 79,000 7. A29866A85 2,000,000
4. 17453BAW1 1,000,000 8. 46625HHA1 5,760,000
B. BANIVCREDIT UNION 8 ANNUITY TRANSFER
Transfer cash only. Unless otherwise indicated, all cash will be transferred. Banks, Annuity, and Trust Companies require Original
Client Signature. Please mail the Original form to complete the transfer request.
IRA Savings Accounts—Typically held with Bank/Credit Union.
OTotal Transfer (Transfer entire account) O Wire
goes may appty)
['Partial Transfer (Transfer pert of account) Portion to transfer S O Check
Certificates of Deposit (CDs).
ORedeem my CD immediately.
I am aware of, and acknowledge, that f am responsible for any penalties that I may incur from any early withdrawal.
ORodoom my CD at maturity. Maturity Date:
Submit request at least 21 days prior to maturity. Please advise your bank not to roll over your CD to a new term.
Indicate in this section whether you wish to liquidate the CO immediately or at maturity. For any investment instruments that have a renewal
deadline, maturity date. surrender charge ponoawindow, etc., paperwork must be received by 7D Amarikade in good order throe 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 Transfer
OTransfer my Annuity
O Full O Partial • O Wire
I have an annuity policy that I wish to transfer. Please redeem and terminate on my behalf (fees rnsYsOPY)
l am aware of, and acknowledge, that I am responsible for any penalties that I may incur from O Check
any early withdrawal.
Select only ono: Liquidate annuity in full or partial bquidation. If partial is selected. amount for partial must be included.
1D Ameritrade is not responsible for the lining or execution of liquidations processed by the delivering firm.
C. MUTUAL FUND COMPANY TRANSFER
Check box for in-kind or Liquidation Transfer. Ptease list the Symbol or CUSIP for the Mutual Fund(s) you wish to move.
Unless otherwise Indicated, TD Ameritrade will 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 Fern Transfer SetliOn
(Section 3A, above).
'Proprietary Mutual Funds and all no-bad Money Market funds cannot be transferred in-kind and must be liquidated.
Quantity H ndling Gains & Dividends
Fund Name or Symbol Mutual Fund Account M
(Indicate* of shares or -ALL') B(ChInec-k Konien) d (Check one ifr -kno
• Reinvest
Liquidate • Cash
Oln.Kind • Reinvest
OLiquidale OCash
• In-Kind • Reinvest
OLIquidate • 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 mar so0y)
• Unless otherwise erdicated,1a uthonbe the Transferor to liquidate any non-transferable proptietary money market O Check
and mutual fund assets That are part of my account and to transfer the resulting credit balance to my account Mb
TO Ameritrade. If the fund is unable to be held by TD Arnentrada I (please India! here) authorize the Transferor
to liquidate and transfer as cash.
CONFIDENTIAL SONY-9tAJWANie
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TO Ameritrade Acct a 867-730320
Registration Difference
For uNike titled or type transfers. such as Individual to Joint. I authorize the transfer from account to account.
All parties on the delivering account must sign below. Ail TD Ameritrade parties must sign in section 6 for transfer authorization.
XCfient Signature: Date:
XCeram Signature: Dele:
XClient Signature: Date:
5. ONE AND THE SAME LETTER OF APPLICABLE)
II you are transferring an account. and the name(s) at TO Amer/Wade do not exactly match but are stll 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 Jr., Sr., etc. If last name difference, must supply legal docunentation: that is. slate issued driver's license,
passport, or government ID. (Please specify account types. such as Individual to Joint)
(please print name), am One and the Sane as
(please print name) as shown on the delivering firm account. (Please specify account types. Such as Individual to Joint)
Please sign name BOTH ways.
XSignature: XSignature:
6. TD AMERITRADE CLIENT AUTHORIZATION (REQUIRED)
All TD Amoritrade 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 van 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 tees due to transfer from the credit balance, or if the credit balance in the account
is insufficient to satisfy any outstanding fees. If cerrificatos or other instruments in my account are in your physical possession, I instruct Transferor to
transfer them in good deliverable form, including 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 account transfer.
Transferor will freeze my account and cancel all open orders. I also understand that no new orders may/will be taken. I affirm that I have destroyed or
returned to the Transferor all credit/debit cards and/or unused checks issued to me in connection with my account.
If this TD Ameritrade account is a qualified retirement account, I have amended the applicable plan to designate the successor custodian.
Alternatively, if this TO Ameritrade account is an Individual Retirement Account (IRA),
I have adopted an IRA plan so that it names the successor custodian. (Medation Signature Guarantee - For TO Amentrade Use Only)
XClient Signature: Dale:
XCo-Owners Signature: Date:
XCo-Owner's Signature: Date:
Co-Owner's Signature Date:
7. LETTER OF ACCEPTANCE (FOR OFFICE USE ONLY)
re
The und gned organizatior agrees to servo as successor custodian for the account of the above-named individual, and as custodian, we agree to
accept assets being Iran, erred.
(Medallion Signature Guarantee - For TO Amertado Use Only)
XRer7entative Signature: Dase:
7/25/20//
Representative Printed-Nantlir
For TD Ameritrade Charing, use only
Please be advised the TD trade Clearing. Inc. is an 'Approved 403(b)(7)
Vendor" and/or has ent into an Information Sharing Agreement with the Employer
for the above-captioned 403(b)(7) account. The Employer/Agent Signature above
hereby authorizes 70 Ameritrade Clearing, Inc. to accept Its exchange.
Investment Products: Not FDIC Insured • No Bank Guarantee ' May Lose Value
TD knotted°. Inc. and TD Ameritrade Clearing, Inc., members FINRNSIPC. TD Ameritrade is a trademark jointly owned by
TD Ameritrade IP Company, Inc. and The Toron-toDominion Bank. SD 2018 TD Amedtrade.
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