Incoming Account Transfer Form Instructions

INCOMING ACCOUNT TRANSFER FORM INSTRUCTIONS
TBRT
F11043 (11/13)
To ensure efficient transfer processing, please provide all information requested on the TIAA-CREF Brokerage Services Incoming Account
Transfer Form as outlined within the instructions below.
NOTE: Please attach a full copy of the most current statement (dated within six months) of the account that you are transferring into
TIAA-CREF Brokerage. Additional documentation may be required if the transfer results in a change in ownership or if there is a question
as to ownership.
Example 1 – a notarized Letter of Authorization is required and must be signed by all account owners when transferring an individual
account into a joint account or when a joint account is transferred into an individual account.
Example 2 – a “Certification of Legal Name” is required when different registrations exist for the same owner, i.e., John H. Doe is also John
Henry Doe is also John Doe. In addition, if you have had a legal name change we require the supporting legal documentation.
STEP 1: TIAA-CREF BROKERAGE ACCOUNT INFORMATION
Name(s) on Account:
This is the title or registration of your TIAA-CREF Brokerage account. Example: John H. Doe, John and Mary
Doe, John H. Doe Living Trust.
Brokerage Account Number:
Please leave the account number blank if this is accompanying a new account application. If you are transferring
into an already established account, enter your existing brokerage account number. A separate transfer form is required for each account
receiving transferred assets.
Social Security Number (SSN): List the SSN of the primary account owner or the Tax ID number of the Trust account, if applicable. Enter
the joint owner’s SSN if applicable.
Type of Account: Check only one option. Complete a separate form for each account registration.
STEP 2: DELIVERING ACCOUNT INFORMATION
Name(s) on Account: This is the title or registration of the account you are transferring from. Enter this just as it appears on your statement.
Example: John H Doe, John and Mary Doe, John H Doe Living Trust. This registration should match the TIAA-CREF
Brokerage account registration.
Social Security Number (SSN): List the SSN of the primary account owner or Tax ID number of the Trust account if applicable.
Delivering Account Number: This is your account number at the delivering firm as it appears on your statement.
Type of Account: Check only one option. Complete a separate form for each account registration.
Delivering Institution name, contact information and address: This is the name of the company that currently holds your account. Please
provide a contact name and phone number so that we may address any concerns on your transfer request. Please provide a physical
overnight mailing address to expedite your transfer request.
STEP 3: TRANSFER INSTRUCTION
Indicate the type of transfer you are requesting by checking the appropriate box. Only one box should be checked.
Transfer my entire account In Kind: This is a full transfer request. This option only applies if the delivering account is a brokerage
account. TIAA-CREF Brokerage Services (TCBS) cannot accept written instructions to sell assets held in brokerage accounts. You must
contact the delivering firm to sell any assets you would like to liquidate prior to submitting your transfer request form. TCBS will transfer all
assets held in the delivering account “In Kind.”
Transfer only the assets listed below In Kind: This is a partial transfer request. This option only applies if the delivering account is a
brokerage account. TCBS cannot accept written instructions to sell assets held in brokerage accounts. You must contact the delivering
firm to sell any assets you would like to liquidate prior to submitting your transfer request form. TCBS will transfer “In Kind” only the assets
listed in this section.
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Incoming Account Transfer Form Instructions PDF

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