What can be done to help ensure a successful, quick transfer?
It is always a good idea to review the account transfer process before submitting the request. Please feel free to talk to a customer service representative to help ensure that there are no known problems with a request. Some of the most important steps to consider are: • For margin debits, confirm that the account meets our minimum requirements • Confirm that we can hold any mutual funds you would like to transfer • Ensure registrations match or that required supporting documentation is included • Avoid trading during the transfer process as it may stop or delay the process. To avoid potential problems, many firms freeze an account while a transfer is in process.
