Vanguard Brokerage Services Nonretirement Account Kit

Brokerage In-Kind Account
Transfer Form
To transfer assets in kind to your Vanguard Brokerage account
Use this form to transfer most types of retirement
and nonretirement assets from another financial firm
to your Vanguard Brokerage account. You can also use
this form to transfer Vanguard mutual funds held outside
of Vanguard to Vanguard (the shares will be held in a
Vanguard mutual fund account and not in your Vanguard
Brokerage account).
Do not use this form for any of these Vanguard fund
transactions:
• To transfer fund shares from your Vanguard mutual
fund account to your Vanguard Brokerage account.
• To exchange shares of one Vanguard mutual fund
for shares of another; instead, call us or go to your
account online. 1
Important information about your transfer
Print clearly, preferably in capital letters and black ink.
Ensure that all account owners sign this form. These
steps will help ensure a prompt transfer.
Processing time depends on the type of transfer. Most
take one to two weeks; however, a transfer may take
longer depending on your current custodian.
Vanguard Brokerage doesn’t charge any account
transfer fees. Verify with your current firm whether
it charges such fees.
Assets you can transfer
You are requesting that assets from your current firm be
transferred to Vanguard Brokerage Services ® “in kind,”
which means moved directly to your Vanguard Brokerage
account without being liquidated. Assets you may
transfer in kind include:
• Stocks.
• Bonds.
• Options.
• Exchange-traded funds (ETFs).
• Unit investment trusts.
• Most mutual funds (although money market funds,
including your current money market sweep
account, will be sold and transferred as cash). 2
Assets you cannot transfer
You cannot transfer the following assets in kind:
• Most certificates of deposit (CDs).
• Commodities.
• Limited partnerships and private placements.
• Annuities.
• Life insurance policies.
• Certain mutual funds and other investment
products offered exclusively by your current firm.
Margin and option accounts
If you are holding margined securities, submit a Margin
Account Application along with this form for approval.
If you are holding fully paid securities in the margin
portion of your account, move these securities to the
“cash” portion of the account before you send us
this form.
If you want to transfer options, submit a Vanguard
Brokerage Option Application along with this form
for approval.
Most forms are available for download from our
website at www.vanguard.com/serviceforms.
Mailing information
Make a copy for your records and mail your completed
form in the enclosed postage-paid envelope.
If you do not have a postage-paid envelope, mail to:
Vanguard Brokerage Services
P.O. Box 1170
Valley Forge, PA 19482-1170
For overnight delivery, mail to:
Vanguard Brokerage Services
455 Devon Park Drive
Wayne, PA 19087-1815
1 Select “My Portfolio,” “Accounts & Activity,” then “Buy & Sell.”
2 To avoid a liquidation fee if you are transferring funds from more than one money market fund, consolidate the funds into your money market
sweep fund before this transfer.
Vanguard Brokerage Services is a division of Vanguard Marketing Corporation, member FINRA and SIPC.