Transfer of Assets - PAS-Transfer Form - Pershing Advisor Solutions LLC - Submission Instructions

Sep 16, 2026

Uploaded by Ophelia

Asset transfer form for Pershing Advisor Solutions LLC, covering instructions and required documentation before submission. Specifies conditions for non-NSCC/non-ACAT transfers, including attaching recent account statements and ensuring securities have CUSIP or symbols on the statement to avoid delays. Provides required account owner signatures and dates, rules for account title/type matching, and guidance on excluding bank/credit union non-retirement checking or savings accounts. Includes step-by-step sections for transferring to Pershing, selecting transfer types, and completing partial transfers, direct mutual funds, and liquidations.

LanguageEnglish

CategoryForms

FormatPDF

Pages5

Reading Time2 min

AccessFree to download

Before Submitting This Form

Step 1. Transfer to Pershing

Step 2. Transfer From

Step 3. Transfer Type

Step 4. Partial Transfers, Direct Mutual Funds, And Liquidations

Transfer of Assets PERSHING ADVISOR SOLUTIONS LLC BEFORE SUBMITTING THIS FORM • Please ensure that the form has been signed and dated by all account owners of both accounts. • If processing a Non-NSCC/non-ACAT transfer, attach a copy of the most recent statement for the account that is being transferred. To avoid delays, please ensure all securities have either a cusip or symbol identified on the statement. • To list more assets, please use the Transfer of Assets: Additional Assets form. • If the account titles or types do not match exactly, additional documentation may be required. Contact your Investment Advisor for guidance. • For a non-retirement checking or savings account at a bank and/or credit union, please do not complete this form. Deposit a check payable to Pershing, LLC or submit a fed fund wire. STEP 1 . TRANSFER TO PERSHING Important: If processing one of the following transfer types (i. e., non-NSCC/non-ACAT), please include a copy of the most recent account statement (preferably within one year): Annuity, Bank, CD, DRS, Direct Mutual Fund, Trust Company. | Account Number | | | | | --- | --- | --- | --- | | Account Title | | | | | Primary Account Holder SSN/Tax ID | | | Secondary Account Holder SSN/Tax ID | Account Type Nonretirement Retirement SN Single JT Joint TR Trust CT Cotrustee CO Corporate CU Custodian ES Estate BC Bank Collateral AG Agency OT Other IR Traditional IRA RI Roth IRA BI Beneficiary BR Beneficiary Roth IRA 4K 401k SI Simple IRAQP Qualified Plan EI Education Savings Acct SP Simplified Employee Pension Plan 4B 403b 7b 457 Plan 5p 529 Plan HS Health Savings Acct If processing a direct rollover, in addition to selecting a Retirement account type above, check this box below. Direct Rollover (select when transferring from one type of retirement plan to another, i. e., 401K to IRA.) STEP 2. TRANSFER FROM Clearing Number (applicable for ACAT transfers-OPTIONAL): Account Type: Address required for transfer requests from a bank, credit union, life insurance/annuity, trust company or mutual fund company. | Account Number | Name and Title of the Account (as it appears on your statement) | | | --- | --- | --- | | Name of Delivering Firm | | | | Delivering Firm Address (Please enter a valid street address. P. O. Box not acceptable.) | | | | City | State | Zip/Postal Code | | Phone | Email (optional) | | Pershing Advisor Solutions LLC (“Pershing Advisor Solutions”), member FINRA, SIPC, is a wholly owned subsidiary of The Bank of New York Mellon Corporation (“BNY Mellon”) . Clearing, custody or other brokerage services may be provided by Pershing LLC, member FINRA, NYSE, SIPC. Pershing Advisor Solutions relies on its affiliate Pershing LLC to provide execution services. Trademark(s) belong to their respective owners. Page 1 of 5 PAS-TOA 12/12/2022 TFR R Transfer of Assets PERSHING ADVISOR SOLUTIONS LLC Account Number STEP 3. TRANSFER TYPE For annuity transfers, please contact the annuity company to submit their surrender or liquidations form prior to submitting this request. Submit your request 30 days prior to maturity to ensure processing. All annuities must be surrendered prior to transfer which could result in penalties, tax implications and/or loss of product features/benefits. Choose only one. For transfer agents, electronically send positions or issue a certificate for whole shares and redeem fractional shares. Direct Mutual Fund (only one fund family per form) Transfer mutual funds from the account held directly at the fund company (see list in the Partial Transfer, Direct Mutual Funds, And Liquidations section for exact instructions) . Account Transfer Full (must check one below) Transfer all assets in kind (skip to the participant signatures and certifications section) . Liquidate all assets (liquidations are not applicable for ACAT-eligible participants i. e., NSCC brokerage accoun

FAQs

What must be completed before submitting the PAS-Transfer form?

Ensure the form is signed and dated by all account owners of both accounts. For non-NSCC/non-ACAT transfers, attach a copy of the most recent statement for the account being transferred.

What details are required to avoid delays when listing securities?

Make sure all securities have either a CUSIP or symbol identified on the statement, especially for non-NSCC/non-ACAT processing.

Which account types can use this form, and which should not?

Do not complete the form for a non-retirement checking or savings account at a bank and/or credit union; instead deposit a check payable to Pershing, LLC or submit a fed fund wire.

Sep 16, 2026

Uploaded by Ophelia