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Saving Broker Information for Position Transfers

You can save third-party broker information for re-use in the following types of position transfers:

• Inbound ACATS
• Inbound ATON
• Inbound and Outbound FOP
• Inbound International Asset Transfer

See Saved Information for information about viewing and deleting saved broker information.

To save new broker information

1. Click Transfer & Pay > Transfer Positions.
2. If you have multiple accounts or account partitions, or if you have a master account and you manage one or more client or sub accounts, the Account Selector opens. Select the account you want to use for this transaction, or use the search function in the Account Selector to find the desired account. Click CONTINUE to submit your account selection and close the Account Selector.
3. In the Transaction Type list, select Inbound Position or Outbound Position.
4. In the Method list, select one of the transfer methods listed at the top of this topic.
5. In the Broker Information section, complete all fields to identify the third-party broker who will be transferring the assets. Select the broker from the drop-down list; enter your account number, account title and account type at the selected broker; and enter your Tax ID number.
6. To continue with ACATS transfer, set Save Broker Information to YES.
7. Enter the name of the saved broker information. This is the name you will use when you apply this information to a future position transfer.
9. Click CONTINUE.
10. If prompted, confirm your identity and enter the confirmation number we emailed you in the fields provided.

Your new broker information has been created. Now you can return to the Transfer & Pay > Transfer Position screen and initiate a new transfer using the newly-created broker information.