[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"doc-seo-279860-105":3,"detail-sidebar-cat-1-en-105":85,"doc-detail-279860-en":131},{"code":4,"msg":5,"data":6},0,"ok",{"site_id":7,"language":8,"slug":9,"title":10,"keywords":11,"description":12,"schema_data":13,"social_meta":78,"head_meta":80,"extra_data":82,"updated_unix":84},105,"en","acat-account-transfer-form-brokerage-account-transfer-instructions","ACAT Account Transfer Form - Brokerage Account Transfer Instructions","","Requesting the transfer of a brokerage account between firms requires completing the ACAT transfer form and submitting a recent account statement dated within 90 days from the delivering account. The form collects matched registration and SSN details for receiving and delivering accounts and provides firm identity and address information. Transfer instructions must be completed for one selected section, including brokerage, mutual fund in-kind or liquidation, retirement account cash/CD handling, annuity liquidation, or transfer agent instructions. Account holder authorization covers liquidation of nontransferable assets, fee deductions, order cancellations, and good-deliverable instrument transfer.",{"@graph":14,"@context":77},[15,34,56],{"@type":16,"itemListElement":17},"BreadcrumbList",[18,23,27,31],{"item":19,"name":20,"@type":21,"position":22},"https://docshare.wps.com","Home","ListItem",1,{"item":24,"name":25,"@type":21,"position":26},"https://docshare.wps.com/template/","Template",2,{"item":28,"name":29,"@type":21,"position":30},"https://docshare.wps.com/template/forms/","Forms",3,{"item":32,"name":10,"@type":21,"position":33},"https://docshare.wps.com/template/acat-account-transfer-form-brokerage-account-transfer-instructions/279860/",4,{"url":32,"name":10,"@type":35,"image":36,"author":41,"headline":10,"publisher":44,"fileFormat":47,"inLanguage":8,"description":12,"dateModified":48,"datePublished":49,"encodingFormat":47,"isAccessibleForFree":50,"interactionStatistic":51},"DigitalDocument",{"url":37,"@type":38,"width":39,"height":40},"https://docshare.wps.com/thumbnails/acat-account-transfer-form-brokerage-account-transfer-instructions/279860.png","ImageObject",442,249,{"name":42,"@type":43},"Valentina","Person",{"url":19,"name":45,"@type":46},"DocShare","Organization","application/pdf","2026-10-23","2026-09-16",true,{"@type":52,"interactionType":53,"userInteractionCount":55},"InteractionCounter",{"@type":54},"ViewAction",10,{"@type":57,"mainEntity":58},"FAQPage",[59,65,69,73],{"name":60,"@type":61,"acceptedAnswer":62},"What documents are required to process an ACAT account transfer?","Question",{"text":63,"@type":64},"Submit the completed ACAT transfer form along with a complete copy of the most recent account statement from the delivering account, dated within 90 days.","Answer",{"name":66,"@type":61,"acceptedAnswer":67},"What must match between the receiving and delivering accounts?",{"text":68,"@type":64},"The registration and SSN of both accounts must match.",{"name":70,"@type":61,"acceptedAnswer":71},"How should mutual fund transfers be handled on the form?",{"text":72,"@type":64},"Indicate transfer or liquidation for each fund. Money market funds must be liquidated and transferred as cash; for transfers in kind, select dividend and capital gain options (default is reinvest if no selections are made).",{"name":74,"@type":61,"acceptedAnswer":75},"What authorization does the account holder provide in Section 3?",{"text":76,"@type":64},"The authorization allows the delivering firm to transfer assets to Axos Clearing, liquidate nontransferable assets, deduct outstanding fees from the credit balance, cancel open orders, and transfer any physical certificates or instruments in good deliverable form.","https://schema.org",{"og:url":32,"og:type":79,"og:title":10,"og:site_name":45,"og:description":12},"article",{"robots":81,"canonical":32},"index,follow",{"doc_id":83,"site_id":7},279860,1791625679,{"code":4,"msg":86,"data":87},"success",[88,93,98,103,108,113,117,122,127],{"id":89,"doc_module":22,"doc_module_name":25,"category_name":90,"show_sort_weight":91,"slug":92},11,"Presentations",90,"presentations",{"id":94,"doc_module":22,"doc_module_name":25,"category_name":95,"show_sort_weight":96,"slug":97},12,"Resumes",80,"resumes",{"id":99,"doc_module":22,"doc_module_name":25,"category_name":100,"show_sort_weight":101,"slug":102},14,"Invoices",70,"invoices",{"id":104,"doc_module":22,"doc_module_name":25,"category_name":105,"show_sort_weight":106,"slug":107},15,"Posters",60,"posters",{"id":109,"doc_module":22,"doc_module_name":25,"category_name":110,"show_sort_weight":111,"slug":112},16,"Social Media",50,"social-media",{"id":114,"doc_module":22,"doc_module_name":25,"category_name":29,"show_sort_weight":115,"slug":116},17,40,"forms",{"id":118,"doc_module":22,"doc_module_name":25,"category_name":119,"show_sort_weight":120,"slug":121},18,"Letters",30,"letters",{"id":123,"doc_module":22,"doc_module_name":25,"category_name":124,"show_sort_weight":125,"slug":126},21,"Paper Templates",5,"papers-templates",{"id":128,"doc_module":22,"doc_module_name":25,"category_name":129,"show_sort_weight":4,"slug":130},158,"General","general-158",{"code":4,"msg":86,"data":132},{"doc_id":83,"user_id":133,"nickname":42,"user_avatar":134,"doc_module":22,"category_id":114,"category_name":29,"doc_title":10,"doc_description":12,"doc_content":135,"file_id":136,"file_url":137,"file_type":138,"file_size":139,"view_count":55,"is_deleted":4,"is_public":22,"is_downloadable":22,"audit_status":22,"page_count":33,"language":140,"language_code":8,"site_id":7,"html_lang":8,"table_of_contents":141,"faqs":142,"seo_title":143,"seo_description":12,"update_tm":144,"read_time":26},13056703020460,"https://ap-avatar.wpscdn.com/avatar/be000253dac470eee5d?_k=1778207105932848923","Reset Form  \nThis form is used to request to transfer an account between brokerage firms. A complete copy of the most recent account statement (dated within 90 days) from the delivering account must accompany this form for the transfer to be processed. Submit this completed form to your Introducing Broker Dealer. Detailed instructions provided on page 3 . Throughout this form, all pronouns such as “you”,“your”,“I” and/or “my”, mean the beneficial owner(s) of the brokerage account.  \nSECTION 1: ACCOUNT INFORMATION-The registration and SSN of both accounts must match.  \n\n| Receiving Account Information |\n| --- |\n| Clearing Number: DTCC – 0052 OCC-0052 |\n| Account Number: |\n| Account Title: |\n| SSN: |\n| Account Type:\u003Cbr>􀂆 Individual 􀂆 Corporate/Business 􀂆 SEP IRA\u003Cbr>􀂆 Joint 􀂆 UGMA/UTMA 􀂆 SIMPLE IRA\u003Cbr>􀂆 Estate 􀂆 Traditional/Rollover IRA\u003Cbr>􀂆 Inherited 􀂆 Roth IRA\u003Cbr>􀂆 Trust 􀂆 Other   |\n| Receiving Firm Name: AXOS CLEARING LLC |\n| Receiving Firm Address: 1200 Landmark Center Ste. 800 |\n| Receiving Firm City, State, ZIP: Omaha NE 68102-1916 |\n| Receiving Firm Phone Number: 402-384-6100 |\n\n\n| Delivering Account Information |\n| --- |\n| Clearing Number: |\n| Account Number: |\n| Account Title: |\n| SSN: |\n| Account Type:\u003Cbr>􀂆 Individual 􀂆 Corporate/Business 􀂆 SEP IRA\u003Cbr>􀂆 Joint 􀂆 UGMA/UTMA 􀂆 SIMPLE IRA\u003Cbr>􀂆 Estate 􀂆 Traditional/Rollover IRA\u003Cbr>􀂆 Inherited 􀂆 Roth IRA\u003Cbr>􀂆 Trust 􀂆 Other   |\n| Delivering Firm Name: |\n| Delivering Firm Address: |\n| Delivering Firm City, State, ZIP: |\n| Delivering Firm Phone Number: |\n\nSECTION 2: TRANSFER INSTRUCTIONS – COMPLETE ONLY ONE OF THE FOLLOWING SECTIONS (A, B, C, D, OR E )  \n\n| A. BROKERAGE ACCOUNT TRANSFER\u003Cbr>􀂆 Full Account Transfer-OR- 􀂆 Partial Account Transfer (list assets below, attach additional signed pages if needed) |  |  |  |  |  |  |  |  |  |  |  |  |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Description |  | Symbol/CUSIP | Share Quantity |  |  | Description |  |  | Symbol/CUSIP | Share Quantity |  |  |\n| CASH |  | ----------------- | $ |  |  | 5. |  |  |  |  |  |  |\n| 2. |  |  |  |  |  | 6. |  |  |  |  |  |  |\n| 3. |  |  |  |  |  | 7. |  |  |  |  |  |  |\n| 4. |  |  |  |  |  | 8. |  |  |  |  |  |  |\n| B. MUTUAL FUND COMPANY TRANSFER IN KIND / LIQUIDATIONS - (* Indicates Required Field)\u003Cbr>- You must indicate transfer or liquidation for each fund (money market funds must be liquidated and transferred as cash) .\u003Cbr>- For Transfers in Kind, please mark a dividend and capital gain option (if no selections are made, Reinvest is the default) .\u003Cbr>- Attach additional pages if needed |  |  |  |  |  |  |  |  |  |  |  |  |\n| * Fund Name/Share Class |  |  |  | *Symbol |  |  | * Fund Name/Share Class |  |  |  |  | *Symbol |\n| * Fund Account Number |  |  |  |  |  |  | * Fund Account Number |  |  |  |  |  |\n| *Transfer Instructions- Complete 1 or 2 |  |  |  |  |  |  | *Transfer Instructions-Complete 1 or 2 |  |  |  |  |  |\n| 1. Transfer in Kind 􀂆 All 􀂆 Share Amt   􀂆 Dollar Amt  \u003Cbr>Dividend Option 􀂆 Reinvest 􀂆 Pay in Cash\u003Cbr>Capital Gains Option 􀂆 Reinvest 􀂆 Pay in Cash |  |  |  |  |  |  | 1.Transfer in Kind 􀂆 All 􀂆 Share Amt   􀂆 Dollar Amt   Dividend Option 􀂆 Reinvest 􀂆 Pay in Cash Capital Gains Option 􀂆 Reinvest 􀂆 Pay in Cash\u003Cbr>2. Liquidate 􀂆 All 􀂆 Share Amt   􀂆 Dollar Amt   |  |  |  |  |  |\n| 2. Liquidate 􀂆 All 􀂆 Share Amt   􀂆 Dollar Amt   |  |  |  |  |  |  |  |  |  |  |  |  |\n| C. BANK OR CREDIT UNION TRANSFER – FOR RETIREMENT ACCOUNTS ONLY\u003Cbr>􀂆 Transfer all Cash 􀂆 Liquidate CD immediately and transfer cash (penalties may apply)\u003Cbr>􀂆 Transfer Partial Cash $   􀂆 Liquidate CD at maturity and transfer cash. Maturity Date   |  |  |  |  |  |  |  |  |  |  |  |  |\n| D. ANNUITY LIQUIDATION\u003Cbr>􀂆 Full Liquidation (Surrender Charges may apply) 􀂆 Partial Liquidation $   |  |  |  |  |  |  |  |  |  |  |  |  |\n| E. TRANSFER AGENT TRANSFER |  |  |  |  |  |  |  |  |  |  | *Note: If ALL is selected, any partial shares will be liquidated by the Transfer Agent. |  |\n|  | DESCRIP","cbCaiq6N8b9sUfme","https://ap.wps.com/l/cbCaiq6N8b9sUfme","pdf",688629,"English","# SECTION 1: ACCOUNT INFORMATION\n## Receiving Account Information\n## Delivering Account Information\n# SECTION 2: TRANSFER INSTRUCTIONS\n## A. BROKERAGE ACCOUNT TRANSFER\n## B. MUTUAL FUND COMPANY TRANSFER IN KIND / LIQUIDATIONS\n## C. BANK OR CREDIT UNION TRANSFER (RETIREMENT ACCOUNTS ONLY)\n## D. ANNUITY LIQUIDATION\n## E. TRANSFER AGENT TRANSFER\n# SECTION 3: ACCOUNT HOLDER AUTHORIZATION","[{\"question\":\"What documents are required to process an ACAT account transfer?\",\"answer\":\"Submit the completed ACAT transfer form along with a complete copy of the most recent account statement from the delivering account, dated within 90 days.\"},{\"question\":\"What must match between the receiving and delivering accounts?\",\"answer\":\"The registration and SSN of both accounts must match.\"},{\"question\":\"How should mutual fund transfers be handled on the form?\",\"answer\":\"Indicate transfer or liquidation for each fund. Money market funds must be liquidated and transferred as cash; for transfers in kind, select dividend and capital gain options (default is reinvest if no selections are made).\"},{\"question\":\"What authorization does the account holder provide in Section 3?\",\"answer\":\"The authorization allows the delivering firm to transfer assets to Axos Clearing, liquidate nontransferable assets, deduct outstanding fees from the credit balance, cancel open orders, and transfer any physical certificates or instruments in good deliverable form.\"}]","ACAT Account Transfer Form - Brokerage Account Transfer Instructions | PDF",1789528537]