To help make this process as easy as possible for you, we have provided the documents you will need, along with a brief description of each. To start the process, just cick on the bold headings below and download the form. Once you have downloaded, please print out the forms, fill in the required information, sign where indicated and send it to our office. Feel free to contact us with any questions along the way. We are happy to walk you through the account transfer process personally.
- Confidential Client Information Questionnaire – To protect your privacy and abide by industry regulation, we are unable to take copies of your client files with us from our former firm. The enclosed questionnaire will provide us much of the information we need to open your account. Please complete this questionnaire in full and return it to our office.
- Customer Account Transfer Form (ACATS) – We will need one ACAT form for each account you wish to transfer. The account owner must sign the form before we can start the transfer process. Once we submit your ACAT form to Wells Fargo Advisors it typically takes about 7 business days to transfer the assets. Please complete the ACAT forms(s) and return it to our office.
- Account Service Agreement – For each taxable, IRA, educational savings account and/or trust account you wish to transfer, there is an Account Service Agreement. Please complete this form(s), provide your Social Security number, sign where indicated and return it to our office.
As soon as we receive these forms along with a copy of your most recent account statement(s), we will begin the process of setting up your new accounts and transferring your assets. Once that is complete, we will mail you a package of completed new account documentation, including disclosures. These will also require your signature. Kindly review, sign and return these documents within 30 days of receipt.