Transfer of Account
Charles Schwab

This form transfers holdings in-kind to your Schwab account.

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If you already have investment accounts hosted somewhere else, you can fund your Schwab accounts using a transfer.

Most people can complete this transfer online using our guide “Transfer an Existing Account to a Schwab Account with Marotta Wealth Management.” A few people may find it easier to use paperwork to complete the transfer and, in those cases, you can use Schwab’s “Transfer of Account Form.”

Before you can use this form, you will need to have opened the receiving account at Schwab. The receiving account at Schwab will need to match in registration. This means if you are trying to transfer a Roth IRA then you will need to open a Roth IRA at Schwab.

Once the Schwab account is open, you can fill out the transfer form. The information about your new Schwab account goes in Section 1. You can find the account number for your Schwab account either by looking it up on your Schwab.com login or by calling Schwab Alliance at 800-515-2157.

In Section 2, you put the information about your old account. In addition to filling out the account registration of that previous account, you will also need to attach an account statement from the past 90 days for the account you are trying to transfer. This is most easily done by logging on to your old custodian’s website and downloading the most recent statement. It is important to make sure the statement you provide includes the account number.

Sections 3 through 6 only requires one section be filled out. For most account transfers people will either need to fill out Section 6 because they are transferring from a mutual fund company or Section 3 because they are transferring from a credit union, bank, brokerage, or trust company. Vanguard is an example of a Section 6 mutual fund company. Principal is an example of a Section 3 custodian.

In both of these sections, you can just select “Full” to initiate a transfer of all holdings. If you don’t know which type your custodian is, it is okay to check “Full” in both sections and let Schwab help determine for you. We have prefilled the form with both sections checked.

After following these instructions and reviewing all the highlighted sections, you can finish the paperwork by signing the form.