1. Transferring to Pershing Advisory Accounts

2. Moving an existing J10 account to a J60 account
Advisory Form need to be uploaded to Consultants tab in Treeno
Initiate the transfer from J10-J60 in NetX360 under Asset Movement
All form need to uploaded to the Securities section in Treeno
In NetX360 you will go to Client Onboarding to open the new J60 account
Client will need to complete paperwork to open the J60

3. NEW FORM- BD to RIA Platform Change Form
If the client’s J10 Pershing account was opened within the past 3 years you will not be required to repaper the entire account, unless the client’s suitability information has changed.
The client will only need to complete the required forms for First Heartland Consultants along with the BD to RIA Platform Change Form and Customer Recommendation Form.
If the account is older than 3 years, you may still use this document to move the account but you will be required to also complete an updated Customer Account Form, Account Suitability Form and the Customer Recommendation Form for the client.

4. BD to RIA Platform Change Form
This form will give authorization for the transfer of the J10 to J60.
Allow the client to authorize Pershing to “copy” old documents to the new account
Adoption Agreement
TOD Agreement
Electronic Delivery Request
ACH Authorization
Periodic Plans

5. New Paperwork Needed for J60 Account if account is older than 3 years
Customer Account Form
Account Suitability Form
Pershing Brokerage Account Selections Form
Account Application- will vary based on registration*
Advisory Services Agreement
If the account is an IRA the IRA Fee Request Form is required
*If the account was opened after July 2009 at Pershing we do not need the Application. It can be copied from the J10.

6. Opening the J60
In NetX360 the account will need to be opened through Client Onboarding
Client Onboarding is located under the Service & Ops tab
Very simple process- Pre-fill the info for the new account from the J10 that is already in the system. Highlight required fields.
After setting up the account add the account number to the forms and upload to Treeno

7. Transferring in Accounts Held direct with Mutual Fund Company
Mutual Fund Companies will not have a Clearing Number.
PO Boxes can not be used for the Delivering Firm’s address – Pershing overnights the paperwork to them.
The symbol or CUSIP must be given for each holding
Do not use the fund number as part of the fund account number. The fund number is generally separated from the account number by a hyphen.
Multiple accounts for the same fund family can be listed on the same Account Transfer form.
The original (hard copy) of the transfer form is required. Please mail it to FHC.

8. Mutual Fund Transfers STEP 1 – Receiving Account Information
Provide the receiving account number.
Provide the SSN/TIN of all account owners.
Provide the two letter abbreviation for the account registration.
STEP 2 – Delivering Account Information.
Provide the delivering firm’s account number.
Provide the delivering firm’s name.
Provide the client’s name as it appears on the statement.
Provide the delivering firm’s full overnight address - PO Boxes can not be used!
STEP 3- Transfer Type
Mark ‘Direct Mutual Fund’ if the funds are transferring in kind
Mark ‘Full’, then ‘Liquidate all assets listed in Step 4’ if liquidating the funds.

9. Mutual Fund Transfers (continued)
STEP 4 – Partial Transfers, Direct Mutual Funds, and Liquidations
All fields are required!
Give the quantity to be transferred – use ALL if you are bringing over the entire holding.
Give the mutual fund name. Abbreviate if needed.
Give the Symbol or CUSIP for the mutual fund.
Give the fund account number – do not include the fund number.
Mark ‘Transfer in Kind’ or ‘Liquidate’ whichever is appropriate.
Mark the choice for dividends and capital gains.
Give the estimated value of the holding.
STEP 5- Retirement Plan Restrictions and Certifications
This section will be completed by Pershing.
STEP 6- One in the same Person
Used if the client’s name doesn’t match exactly on both receiving and delivering accounts.
STEP 7- Participant Signature and Certification
All account owners should sign and date the form.
Give the name and phone number of the registered representative.
PLEASE NOTE:
Signature Guarantee is not needed.
Be sure the account number is on every page!

10. Share Class Conversions Process
Check with the fund company to make sure they allow share class conversions
Verify which share class can go into another without any charges incurred
Some companies have specific classes for managed account
Enter a service center in NetX360 to process
Processing time is 5-7 business days depending on the fund company
Follow up in the activity screen of NetX360 to make sure conversions are completed as requested

11. Service Center Screen Example

12. Questions? Heartland Huddle -Wednesday Please join us for our next
January 4th 10:00am
Topic: TBD