Series 28: Account Transfers

Taken from our Series 28 Online Guide

Account Transfers

Sometimes a client will wish to transfer an account from one brokerage firm to another. The client will initiate the process by filling out a Transfer Initiation Form (TIF) and sending it to the firm to which the client wishes to transfer. The new firm is referred to as the receiving firm because it will be receiving the new customer.

The receiving firm must immediately send a request-to-transfer to the cl

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