Vanguard Brokerage Services Nonretirement Account Kit

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Tips for completing your transfer In general • If you have questions or need assistance, please call us at 800-992-8327. We want to help. • Use a separate form for each account that you are transferring. • If you have more than one Vanguard Brokerage account, use a separate form for each brokerage account. • Make sure you’ve removed any restrictions on your account, paid any fees, and settled your margin debt, outstanding trades, and other debits. Section 1 If you haven’t already set up a Vanguard Brokerage account, ask us for a Vanguard Brokerage Account Application and submit it along with this form (on which we’ll record your new account number). Transfers should occur between “like” registered accounts—same account owner, Social Security number, and account type. If your Vanguard Brokerage account and your current firm account are registered differently, complete Sections 7 and 8 of this form. Section 2 Use the most recent statement from your current firm as a guide to fill out this section. Note: For the firm address, use a street address. Do not include a P.O. box number. If you have more than one account at another company, use one form for each account. Section 3 Be sure to attach a complete account statement, dated within the past 90 days, from your current firm. The statement should show all the assets you plan to transfer as well as your name, address, and account number. Note: If we don’t have a complete account statement, we will be unable to process your request. Section 4 Indicate the type of retirement or nonretirement account. Check only one box. Section 5 For a partial transfer of assets from your current brokerage account, list the assets here and on additional sheets if necessary. Sign and date each sheet. If you are transferring proceeds from a maturing CD, we must receive this form at least 14 days, but not more than 30 days, before the maturity date, or it will be returned to you. For mutual fund transfers, make sure you indicate how you want us to handle dividends and capital gains distributions. Note: The distribution option for stocks or mutual funds held at your current brokerage firm—that is, whether your dividends and capital gains are to be reinvested or paid out in cash—might not be carried over to Vanguard Brokerage. Call us at 800-992-8327 to ensure that distributions on these assets will be handled appropriately after your transfer is completed. Section 6 All owners of the account at your current firm must sign this form for the transfer to proceed. Section 7 You must complete this section—the Letter of Authorization—if the registrations on the accounts at your current firm and at Vanguard Brokerage differ. All owners of the current and new accounts must sign. Section 8 You may be required to obtain a Medallion signature guarantee for your protection (to certify that your signature is genuine). If so, the form must be signed in the presence of an authorized officer of a bank, brokerage firm, trust company, or other financial institution that participates in the Medallion signature guarantee program. Note: A notary public cannot provide a signature guarantee. Vanguard Brokerage requires a Medallion signature guarantee if the registrations on your accounts are not identical. All owners of the current account and the new Vanguard Brokerage account must sign. If the registrations on the two accounts are identical, check to see whether the transferring firm still requires a Medallion signature guarantee.
Vanguard Brokerage Services ® Clearing Number 0062 Brokerage In-Kind Account Transfer Form 1. Vanguard Brokerage Account Information Current and new account registration should be identical. If > they are not, be sure to complete Sections 7 and 8. Vanguard Brokerage Account Number if known; only one per form Name of Account Owner 3. Recent Account Statement Primary Social Security or Employer ID Number Name of Account Owner Statement Date mm/dd/yyyy 4.Type of Vanguard Brokerage Account Check only one box. 2. Current Firm Account Information Account Number only one per form Firm Name Contact Name Telephone Number Address Nonretirement: ■ ■ ■ ■ ■ ■ ■ ■ Individual Joint Estate Organization Custodian Trust Education savings account Other Retirement: ■ ■ ■ ■ ■ Traditional IRA Rollover IRA Roth IRA SEP-IRA Other 5.Transfer Instructions Indicate below—by checking only one of the choices provided—the type of institution from which you are transferring assets. Then provide the detailed information requested. > Attach additional sheets, if necessary. On each sheet, include a date and sign exactly as each person’s name is listed at the current firm. If you do not choose an option for your fund dividends, they will be reinvested. Initial where indicated (to show that you are aware of > any CD earlywithdrawal penalties, for example). ■ From a brokerage firm Choose only one of the following: ■ Transfer all the assets in kind from this account. ■ Transfer only the assets listed below in kind from this account, as follows: Name of Asset Name of Asset ■ From a mutual fund company Transfer the following funds in kind: Name of Fund Name of Fund ■ Transfer all shares or ■ Transfer all shares or ■ Transfer this number of shares: Dividends ■ Reinvest ■ Pay in cash Capital Gains Distributions ■ Reinvest ■ Pay in cash ■ Transfer this number of shares: Dividends ■ Reinvest ■ Pay in cash Capital Gains Distributions ■ Reinvest ■ Pay in cash ■ From a bank, savings and loan, credit union, or insurance company Choose only one of the following: ■ Transfer all the cash from my IRA. ■ Transfer this cash from my IRA: $ ■ Transfer all the proceeds from the redemption of my life insurance policy or annuity. ■ Transfer proceeds from the redemption of my CD, as follows: ■ Prior to maturity ■ At maturity Primary Social Security Number or Employer ID Number You must include a complete account statement—dated within the past 90 days—from your current firm. ■ Transfer all shares or ■ Transfer all shares or ■ Transfer this number of shares: ■ Transfer this number of shares: Your Initials Your Initials Maturity Date mm/dd/yyyy Your Initials 1 of 2
Page 1 and 2: What’s inside: • Commission and
Page 3 and 4: Vanguard Brokerage Services Commiss
Page 5 and 6: Mutual funds from other companies:
Page 7 and 8: Fees for other services VanguardAdv
Page 9 and 10: Form NAAF Brokerage Account Applica
Page 11 and 12: Form NAAF 3. Trust information trus
Page 13 and 14: Form NAAF Provide full, legal name.
Page 15 and 16: Form NAAF If you don’t complete t
Page 17 and 18: Form NAAF 8. How you’d like to ma
Page 19 and 20: Form NAAF 12. Duplicate documentati
Page 21 and 22: Form NAAF Sign here. All those list
Page 23: Brokerage In-Kind Account Transfer
Page 27 and 28: Vanguard Brokerage Account Applicat
Page 29 and 30: Take your pick from thousands of mu
Page 31 and 32: Vanguard Brokerage Services FundAcc

Vanguard Brokerage Services Nonretirement Account Kit

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