Fillable Printable Customer Account Transfer

Customer Account Transfer

544327 (Rev 18) Page 1 of 2

Customer Account Transfer (Please Use a Separate Form for Each Transfer)

Sub Firm # BR Code FA Code Account Number Contra Clearing Number

(Office Use Only)

Account You are Transferring TO

Full Name or Account TitleSocial Security Number or Tax ID NumberFCC Clearing Number

0141

Account You are Transferring FROM Delivery Organi zatio ns: See Delivery Instruction s on Page 2.

Account Name

Account Number

Name of Firm or Fund Company Currently Holding Your Account

Address of Firm

Check here if this Account is a: Qualified Retirement Plan IRA OTA DRT

Type of Transfer

1 Full Brokerage Account Transfer. (Check one at right)

Transfer all assets or shares in my account as is Liquidate and transfer cash

2 Partial or Non-Brokerage Transfer.

Trust Company, Bank, Cre dit Union, Savings & Loan, Annuities, Life Insurance, DRIP Plan Shares or Certificates of Deposit Transfer.

Liquidate and Transfer Cash.

Transfer all assets or shares in my account as is.

Liquidate Certificates of Deposit IMMEDIATELY. (I acknowledge the penalty I may incur from an early withdrawal.)

Liquidate Certificates of Deposit AT MATURITY. (Submit this transfer no earlier than 30 days prior to maturity.) Maturity Date _____________

Partial Brokera ge, Trust Company or Annuity Transfer. (Transfer only the assets or shares listed below) Choose One for Each Item

Quantity Description of Asset and Cusip or S ymbol

Liquidate and

Transfer cash

Transfer

Shares As Is

All

*For additional assets please attach a separate sheet

3 Mutual Fund Company Transfer. (One form per Fund Family. Please send to Mutual Funds, H0006-014 Orange Envelope) Choose One for Each Item

Quantity Full Name of Mutual Fund

Liquidate and

Transfer cash

Transfer

Shares As Is

Dividend and Capital Gains

(Choose One for Each Item)

All

Cash for Both

Reinvest Both

All

Cash for Both

Reinvest Both

All

Cash for Both

Reinvest Both

*For additional assets please attach a separate sheet

Age 70½ Reminder - THE FOLLOWING APPLIE S ONLY TO A RETIREMENT ACCOUNT TRANSFER.

If you will turn age 70½ this year, or you are already over age 70½, please be reminded that you must withdraw your required minimum distribution amount by the

deadline. The deadline for individuals who turn 70½ this year is April 1st of next year and for all others, the deadline is December 31

of this year. The IRS penalty for

underdistribution of the mandatory amount by the deadline is 50%. In order to calculate the required amount for this year, the value of this IRA on December 31

of las t

year will be needed. In addition, required minimum distributions are not eligible for rollover.

Auction Rate Securi ties: Account Transfer Acknowledgement

You understand and agree to the following in connection with the auction rate securities held in your account:

Your auction rate securities were purchased prior to the transfer of your account to us. As a result, we are not responsible or liable for any prior

recommendations or advice with respect to these securities nor are we under any obligation to provide you with any investment recommendation or advice with

respect to th e dis p osition or co nti nu e d hold in g of t he se sec ur ities in your acc ou nt fol lowing the tran sfer of your acc ou nt.

You also understand and agree that we are not under any obligation to you (i) to provide loans under margin agreements or otherwise secured in whole or part

by the auction rate securities in your account, (ii) to purchase or continue to purchase any auction rate securities in periodic rate sett in g auc ti ons or in sec ond ar y

market transactions, or (iii) to provide liquidity for such securities. Many auctions for these securities are in failed status meaning th at hold ers of th ese secur ities

are not able to sell these securities in the periodic rate setting auctions or in secondary market transactions and as a result, liquidity for these securities currently

is greatly impaired. We provide no assurance that you will be able to sell or otherwise dispose of these securities following the transfer of your account to us.

You understand that we take actions in connection with other customers that we do not offer you in connection with your auction rate securities.

Revocation of AdvisoryAgreement

When applicable, I authorize the delivering firm to discontinue all account management agreements immediately. The client will have sole responsibility for investment

decisions with respect to the securities, cash and other assets in the client's account until the client hires a new investment manager.

** A COPY OF YOUR MOST RECENT STATEMENT IS REQUIRED TO PROCESS THIS TRANSFER **

Client Signature

Date

Joint Account Holder Signature

Date

Signature Guaranteed By

Medallion Signature Guara ntee Program

PLE ASE BE ADVISED THAT FIRST CLEARING, LLC ACCEPTS APPOINTMENT AS SUCCESSOR CUSTODIAN.

Successor Custodian Signature

Date

Contact Name Phone Number

ACAT (Sections 1 & 2)

Send to H0006-014 Blue Envelope

Mutual Funds (Section 3)

Send to H0006-0 14 Orange Envelope

Accounts carried by First Clearing, LLC

544327 (Rev 18) Page 2 of 2

For Delivering Organization’s Use Only

If this account is a qualified retirement account, I have amended the applicable plan so that it names __________________________________ ___ ( not FCC)

as successor custodian. Unless otherwise indicated in the instructions above, please transfer all assets in my account to ________ _____________________.

I understand that to the extent any assets in my account are not readily transferable with or without penalties, such assets may not be transferred within the

time frames required by NYSE Ru le 412 or similar rule of the FI NR A or other designated exa mining authorit y. I authori ze you to liquidate an y non-transferabl e

proprietary money market fund assets that are part of my account and transfer the resulting credit balance. I authorize you to deduct a ny outstanding fees due

you from the credit balance in my account. If m y account does not contain a credit balance, or if the credit balance in the acc ount is insufficient to satisfy any

outstanding fees due you, I authorize you to liquidate the assets in my account to the extent necessary to satisfy that obligation. If certificates or other

instruments in my account are in your physical possession, I instruct you to transfer them in good deliverable form, including affixing any necessary tax

waivers, to enable the successor custodian to transfer them in its n ame for t he pu rp ose of sale, when and as directed b y me. I und er stand that upo n receiving

a copy of this transfer instruction, you will cancel all open orders for my account on your books. I affirm that I have destroyed or returned to you credit/debit

cards and/or unused checks issued to me in connection with m y securities account. I understand that you will contact me with respect to the disposition of any

assets in my securities account that are non-transferable.

Receiving Firm Information:

FIRST CLEARING, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103

Tax ID Number:

23-2384840 - FCC Retail and IRA

Delivery Instructions

(All deliveries MUST include the client name and FCC account number.)

Wire Instructions

Wells Fargo Bank

420 Montgomery Street

San Francisco, CA 94104

ABA Routing Number: 121000248

Beneficiary: First Clearing, LLC

Account Number: 4122023377

Further Credit: Your name (must match account re gistration) and your

8-digit brokerage account number

All DTC Eligible Securities

DTC #: 0141

Client Name and Client Account Number

Physical Deliveries

FIRST CLEARING, LLC

Attn: Physical Transfer – H0006-091

One North Jefferson Avenue

St. Louis, MO. 63103

Further Credit to Client Account Number

Book-Entry GNMA Securities – PTC

Fed Book -Entry – Government Securities

BK of NYC/FCCORP.

ABA# 021000018

Further Credit to Client Account Number

Euroclear Eligible Bon ds

(must notify Security Clearance 2 da ys prior to settlement)

EUROCLEAR #10665

Further Credit to Client Account Number

Foreign Equities:

(must notify Security Clearance in order for them to instruct)

JPMorgan Chase Bank A/C # CHASGBZLST

Account of First Clearing, LLC

Further Credit to Client Account Number

Forward Checks* to the Address Indicated

*Must include Client Name and FCCS Account Number.

FIRST CLEARING, LLC

Attn: Cash Management – H0006-085

One North Jefferson Avenue

St. Louis, MO 63103

Further Credit to Client Account Number

ACAT Mutual Fund Registration

Instructions - FCC IRA

FIRST CLEARING, LLC

FBO: Client Name and Client Account Number

One North Jefferson Avenue

St. Louis, MO 63103

Mutual Fu nd Broker-Dealer First Clearing, LLC