Transferring Account Assets

How do I transfer assets from one ShareBuilder account to another?

Depending on what type of assets you wish to transfer, transferring between accounts can either be completed online or by using our Transfer Assets form. Use this handy chart to check if your transfer is eligible to be placed online. There is no charge for transferring assets between ShareBuilder accounts.

Transfer assets between accounts with these steps:

  1. Go to Accounts > Overview > Forms & Applications (sign in required)
  2. Under 'Transfer assets', look for 'Transfer assets between ShareBuilder Accounts'
  3. Click the link to Start now and follow the steps to complete your transfer online or print the Transfer Assets Form

How do I transfer assets to my ShareBuilder account?

You can transfer the assets in your non-ShareBuilder account to your ShareBuilder account as long as you meet a few simple criteria. You’ll need your other broker’s account statement to get started. Simply follow the instructions online, print your form, send it in with a copy of your brokerage account statement, and we’ll do the rest!

Start the process here:

  1. Go to Accounts > Overview > Forms & Applications (sign in required)
  2. Next to 'Transfer a non-ShareBuilder account to a ShareBuilder account,' click Start now
  3. Follow the on-screen instructions, click Submit, then click Print Form to get your pre-filled paperwork
  4. After printing, add your full Social Security number in the space provided and sign the form
  5. Finally, mail or fax the pre-filled form with your account statement from the other brokerage

Tip: A copy of your account statement from the other brokerage is very important, and your transfer request can't be completed until we receive it. Of course there is no charge from us when you transfer an account from another brokerage. Once we receive your transfer form and statement, we'll keep you up to date on the progress of your transfer request in your ShareBuilder account (so keep an eye out). Take note: some account transfers can take up to 4 to 6 weeks to complete.

How do I transfer assets out of my ShareBuilder account?

When making a transfer from your ShareBuilder account to a non-ShareBuilder brokerage account you can request either a partial transfer (transfer of specific assets) or a full transfer (transfer of all assets). Follow the instructions below to request a transfer out of your ShareBuilder account:

First, you will need to obtain a copy of the receiving broker's account transfer form. When completing the form, you'll need to list:

  • Whether you are completing a partial or full transfer
  • The ticker symbol of the securities to be transferred
  • The number of shares to be transferred
  • The amount of cash to be transferred

When requesting a transfer, only whole shares may be transferred. Fractional shares cannot be transferred and are liquidated for a full transfer or left in your ShareBuilder account for you to hold or liquidate for partial transfers.

For partial transfers, there is a cost of $15 per security being transferred, and $15 for any cash, up to a maximum of $75.

For full transfers, there is a cost of $75. 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 cash balance.

When you submit the transfer form, please let the receiving brokerage know that ShareBuilder 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 account statement with the transfer form. The transfer will take approximately 30 days to complete.

Tip: If you wish to prevent further investments while you are in the process of requesting your transfer out, you will want to switch off your Automatic Investment Plan. Also, if on the Advantage Pricing Program, you can unsubscribe to the Basic Pricing Program to prevent further monthly subscription charges (but you will not be able to sign up again in the future as this pricing is no longer available to new subscribers).

How do I deposit stock certificates into my ShareBuilder account?

We can deposit your stock certificate into your account for you as long as the stock trades on one of the National Securities Exchanges: NYSE, NASDAQ and NYSE MKT LLC (as seen next to the stock’s symbol on a detailed quote page). Here’s how to get the process started for each different stock certificate you have:

  1. Complete the Irrevocable Stock Power form (must be notarized or Medallion Signature Guaranteed)
  2. Include a Letter of Authorization form if you’re changing the ownership of the stock certificate from Individual to Joint (just needs one signature) or Joint to Individual (needs the signatures of both of the certificate’s owners)
  3. Mail form(s) and stock certificate to:

    Capital One Investing, LLC
    ATTN: Deposit Stock Certificates
    PO Box 4249
    Seattle, WA 98194-0249

Tip: To process your deposit, please do not fill out or sign the back of the stock certificate. It’s also a good idea to make a photocopy of the certificate for your own records as we can’t return the original you send us.