Transferring Account Assets

Certain types of transfers can be placed online through the ShareBuilder website, while others require you to print, fill out, and mail in a Transfer Assets form. Find out more information on which types of transfers are eligible to be placed online.

To transfer assets between accounts:

1. Navigate to Accounts > Forms & Applications (log in required).
2. Click on the Transfer assets between ShareBuilder accounts link to submit your transfer request online or click the Transfer Assets form link to print and mail the transfer form to ShareBuilder.

ShareBuilder does not charge a fee for completing a transfer from one ShareBuilder account to another.

Note: Please be aware that the Gain & Loss Tool will not automatically update to reflect this transfer. To ensure that information is accurately reflected in both accounts, you will need to manually enter the transaction(s) on the receiving account and close the position(s) on the originating account.

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ShareBuilder accepts transfers from other brokerages. If you would like to transfer in account assets (cash or securities) from another brokerage firm to ShareBuilder, you will need to complete the 'Transfer assets from another brokerage to ShareBuilder' form. ShareBuilder does not charge a fee to transfer in from another brokerage firm.

Transfers can only take place between like accounts (for example, Individual to Individual or Roth IRA to Roth IRA) with the exact same account holder(s) name on each account. You may only transfer in securities that are eligible for trading at ShareBuilder. Please confirm your securities are eligible before sending your transfer paperwork.

To complete your request to move assets to a ShareBuilder account, please follow the instructions below:

1. Navigate to Accounts > Forms & Applications (log in required).
2. Click on the Transfer assets from another brokerage to ShareBuilder link and print the form.
3. Fill out the form and mail it to:
   
   

   ShareBuilder Securities Corporation
   PO Box 4249
   Seattle, WA 98194-0249

Once ShareBuilder receives your paperwork, a message will be posted to your account. Transfers between brokerages generally take between 4 to 6 weeks to be completed. If there is a problem with your paperwork, another message will be posted to your account informing you of the problem and how to correct it.

Note: Please be aware that the Gains & Losses tool will not automatically update to reflect this transfer. To ensure that information is accurately reflected, you will need to manually enter the transaction(s) on the receiving account.

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When making a transfer from your ShareBuilder account to another brokerage you can request either a partial transfer (transfer of specific assets) or a full transfer (transfer of all assets). Follow the instructions below for the type of transfer you would like to make:

Partial Transfer
To transfer assets from your ShareBuilder account to another brokerage you will need to obtain a copy of the receiving broker's account transfer form. When completing the form, you will need to list:

• The ticker symbol of the securities to be transferred
• The number of shares to be transferred
• The amount of cash to be transferred, if any.

Only whole shares may be transferred. Fractional shares cannot be transferred, but can be left in your ShareBuilder account or liquidated via a real-time trade.

There is a cost of $15 per security being transferred, and $15 for any cash funds, up to a maximum of $75.

When you submit the transfer form, please inform the receiving brokerage that ShareBuilder Securities is not an ACATS (Automated Customer Account Transfer System) eligible broker and that the transfer will need to be completed manually. In addition, the form must have a Medallion Signature Guarantee.

Please be sure to include a printout of your most recent ShareBuilder statement with the transfer form. The transfer will take approximately four to six weeks.

Full Transfer
To transfer all of your assets from your ShareBuilder account to another brokerage you will need to obtain a copy of the receiving broker's account transfer form. Formats will vary but when you complete the form, please either designate a full transfer of all assets or separately include:

• The ticker symbol for each security being transferred
• The number of whole shares for each security
• The amount of cash funds being transferred

As only whole shares can be transferred, any partial shares that you have will be sold and the proceeds will be transferred with the money market cash balance.

There is a cost of $75 for a full account transfer to another brokerage. This includes the transfer of all whole shares of securities held in your ShareBuilder Account, the liquidation of any partial shares (as needed), and the transfer of the money market cash balance.

When you submit the transfer form, please inform the receiving brokerage that ShareBuilder Securities is not an ACATS (Automated Customer Account Transfer System) eligible broker and that the transfer will need to be completed manually. In addition, the form must have a Medallion Signature Guarantee.

Please be sure to include a printout of your most recent ShareBuilder statement with the transfer form. The transfer will take approximately 30 days to complete.

Note: If you wish to prevent further investments from being made with your Automatic Investment Plan, you will want to switch off your plan. Also, you may wish to downgrade to the Basic Pricing Program to prevent further deductions of the pricing program's monthly subscription.

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In order to deposit a stock certificate into your ShareBuilder account, you will need to complete the Irrevocable Stock Power form. One form should be completed for each certificate being deposited. Do not fill out or sign the back of the certificates.

You may only transfer in securities that are eligible for trading at ShareBuilder. Please confirm your securities are eligible before sending your certificates. Depositing stock certificates is free of charge providing the name of the stock certificate matches the name on the ShareBuilder account.

To deposit a stock certificate:

1. Navigate to Accounts > Forms & Applications (log in required).
2. Click on the Other in-page tab.
3. Click on the Deposit Stock Certificate link and print the form.
4. Complete the form for each certificate being deposited. Each signed form must be verified by Notarization or Medallion Signature Guarantee.
5. Mail form(s), stock certificate(s), and if necessary Letter of Authorization (see note below) to:
   
   

   ShareBuilder Securities Corporation
   PO Box 4249
   Seattle, WA 98194-0249

Note: If the registration on the certificate matches the registration on the ShareBuilder account, only the Irrevocable Stock Power form is necessary. If the registration on the certificate and the account do not match, then you will also need to also include a Letter of Authorization, which will authorize ShareBuilder to deposit your certificate.

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