Account Transfer Request

J.P. Morgan Securities LLC

Member FINRA and SIPC

You can submit this form Use this form to

and any attachments by:
• Transfer assets to J.P. Morgan Securities LLC (JPMS) from another financial institution. Financial
Secure Message
For instructions on how to institutions include brokerage firms, trust companies, mutual fund companies, banks, insurance
submit this request by companies, credit unions and transfer agents.
secure message, visit
www.chase.com/ What you need to know
brokerageforms. • You must attach a complete copy of your most recent account statement (dated within 90 days) from
Mail the delivering account. This request cannot be processed without the delivering account statement.
J.P. Morgan Securities LLC
Attn: Transfer – WM • You can review/modify your dividend and capital gains settings after your transfer is complete. Sign in to
10 S. Dearborn St. chase.com and select "Profile & Settings — Dividends and Capital Gains."
Chicago, IL 60603
If you have questions,
• If you are transferring several mutual funds and have multiple account numbers, enter "Multiple
please send us a secure accounts" where you are asked for the account number in Section 1B and list each individual mutual
message on chase.com. fund account number under Option B, "Transfer from a Mutual Fund Company," in Section 3.
• Don’t use this form to complete a rollover from your employer-sponsored retirement plan, convert a
Traditional IRA to a Roth IRA, or move funds between two JPMS accounts.

1. Tell Us About Your Accounts

A. RECEIVING JPMS ACCOUNT B. DELIVERING (NON-JPMS) ACCOUNT
J.P. Morgan Securities LLC
Receiving Firm Name Name of Financial Institution You're Transferring Assets From

JPMS Account Number Account Number of Account You're Transferring Assets From

Account Holder Name(s) (AS IT APPEARS ON YOUR STATEMENT) Account Holder Name(s) (AS IT APPEARS ON YOUR STATEMENT)

Primary Account Holder's Social Security or Tax ID Number Primary Account Holder's Social Security or Tax ID Number

Joint Account Holder's Social Security or Tax ID Number (if applicable) Joint Account Holder's Social Security or Tax ID Number (if applicable)
JPMS Account Type (select one) What type of account are you transferring from? (select one)
Individual (non-IRA) Individual (non-IRA)
Joint (Ensure Joint Account Holder’s name is included in the Account Holder Joint (Ensure Joint Account Holder’s name is included in the Account Holder
Name above and add Joint Account Holder’s Social Security or Tax ID number.) Name above and add Joint Account Holder’s Social Security or Tax ID number.)
Trust Trust
Traditional IRA Traditional IRA
Roth IRA Roth IRA
Money Purchase Pension Plan/Profit Sharing Plan Money Purchase Pension Plan/Profit Sharing Plan
SEP-IRA SEP-IRA
Other (specify): Other (specify):

Do the Account Holder Names and Account Types MATCH EXACTLY between Sections 1A and 1B above? (select one)
Yes → proceed to Section 3.
No → proceed to Section 2.

INVESTMENT AND INSURANCE PRODUCTS:

• NOT A DEPOSIT • NOT FDIC INSURED • NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
• NO BANK GUARANTEE • MAY LOSE VALUE
33062_CYI v8.0 Page 1 of 6
 Account Transfer Request

2. Name and Registration Differences (complete only if applicable)

Complete this section ONLY if the Account Holder Name(s) and/or Account Type you are transferring DO NOT MATCH your JPMS
account (including a transfer between a joint account and an individual account). All Account Holders must sign here.
Some registration differences may not be eligible for transfer.
Notary sections must be completed by a notary public. Each signature requires its own notarization. (Two Account Holder signatures
require two notarizations.)
By signing below, I/we authorize the transfer of my/our account listed in Section 1B (Delivering (Non-JPMS) Account) to my/our
account at JPMS listed in Section 1A (Receiving JPMS Account). By signing below, I/we agree to indemnify and hold harmless JPMS, its
officers, directors, employees, agents and affiliates from and against any and all losses, claims and financial obligations resulting from
JPMS acting on the instructions provided herein.

X X
Primary Account Holder Signature Joint Account Holder Signature (if applicable)

Date (month/day/year) Date (month/day/year)

A notary public or other officer completing this certificate verifies only A notary public or other officer completing this certificate verifies only
the identity of the individual who signed the document to which this the identity of the individual who signed the document to which this
certificate is attached, and not the truthfulness, accuracy, or validity of certificate is attached, and not the truthfulness, accuracy, or validity of
that document. that document.

STATE OF ) STATE OF )
) SS: ) SS:
COUNTY OF ) COUNTY OF )
Subscribed, sworn to and acknowledged before me by Subscribed, sworn to and acknowledged before me by

, ,
Name of Document Signer (above) Name of Document Signer (above)

this day of , . this day of , .

Day Month Year Day Month Year
X X
Signature of Notary Public Signature of Notary Public

Place Stamp Here Place Stamp Here

My commission expires My commission expires

33062_CYI v8.0 Page 2 of 6

Your Name Your JPMS Account Number
 Account Transfer Request

3. What Type of Transfer Are You Requesting?

Complete only one section: A, B, C or D.
Your delivering account statement is the best source of information about what type of transfer you should select.
Option A: Transfer from a Brokerage Firm or Trust Company — Look for the words "Broker/Dealer" or "Trust Company" on your statement.
Option B: Transfer from a Mutual Fund Company — Mutual funds held directly at a Mutual Fund Company often have their own account numbers.
Option C: Transfer from a Bank/Credit Union or Insurance Company/Annuity — Look for "checking," "savings," "CD," or "annuity" on your statement.
Option D: Transfer from a Transfer Agent (DRS) — The largest transfer agents are Computershare/BNY Mellon, American Stock Transfer & Trust, Equiniti Trust,
Continental Stock Transfer & Trust, and Broadridge Corporate Issuer Solutions.
Some proprietary mutual funds and money market funds must be liquidated before the transfer can be completed. We’ll contact you if this is necessary.
If you need more room to list assets in Option A or B, complete the Additional Assets page at the end of this form — sign and date the page.

Option A Option B
Transfer from a Brokerage Firm or Trust Company Transfer from a Mutual Fund Company

Transfer all assets in my account (including cash). Transfer only the mutual funds listed below.
(Please proceed to Section 4 — do not complete the table below.)
Transfer only the cash and/or securities listed below. For
securities, only whole shares may be transferred unless you
indicate that you want “All” shares transferred, which would
include fractional shares.
# of Shares Symbol/CUSIP Mutual Fund # of Shares
or "All" or "Cash" Security Description Account Number or "All" Symbol/CUSIP

Option C Option D
Transfer from a Bank/Credit Union (Checking, Savings or CD) Transfer from a Transfer Agent via the Direct Registration
or Insurance Company/Annuity System (DRS)

Transfer all the cash from my account. Transfer all whole shares in the account and sell fractional
Transfer only the following dollar amount from my account. shares. The transfer agent will send a check for the
redeemed fractional shares directly to you at your address
of record. (Please proceed to Section 4 — do not complete the
table below.)
Dollar Amount
Transfer my CD proceeds at maturity date, which cannot be Transfer all whole shares in the account and leave fractional
more than 60 days in the future. shares at the transfer agent. (Please proceed to Section 4 — do
not complete the table below.)
Transfer only the security listed below.
CD Maturity Date (month/day/year)
# of Whole Shares Symbol/CUSIP Security Description
Liquidate my CD or annuity and transfer all the proceeds
immediately. I acknowledge that I may incur surrender or
other charges, taxes and/or penalties.
Important information about the sale of fractional shares. The sale of
Liquidate the following dollar amount from my annuity and fractional shares by a Transfer Agent could result in a taxable distribution to you.
transfer the proceeds. I acknowledge that I may incur Under IRS regulations, rolling over the proceeds from the sale of fractional
surrender or other charges, taxes and/or penalties. (JPMS shares in an IRA into another IRA could prohibit the rollover of other IRA
distributions for up to one year. Likewise, an IRA-to-IRA rollover made less than a
does not hold annuities in brokerage accounts.) year ago also could prohibit you from rolling over the sale proceeds. Talk to your
own tax or legal advisor about the tax consequences of IRA distributions — or any
other brokerage transactions — and contact your Transfer Agent with questions
Dollar Amount regarding income tax withholding or information reporting.

33062_CYI v8.0 Page 3 of 6

Your Name Your JPMS Account Number
 Account Transfer Request

4. Authorization for Transfer of a Qualified Retirement Plan Account

This section is required if you transfer your employer-sponsored qualified retirement plan's assets to an employer-sponsored
qualified retirement plan (e.g., Money Purchase Pension Plan or Profit Sharing Plan) account at JPMS. Please have the plan
trustee complete this section.
As trustee, by signing below, I authorize the transfer of the qualified retirement plan account to the J.P. Morgan Securities LLC
investment account described in Section 1.
X
Trustee Signature Date (month/day/year)

5. Account Holder Signature(s)

By signing below, I agree and understand that:
• I have read and am bound by JPMS’ terms and conditions regarding the transfer of my assets from another financial institution. If
the account is a retirement account, I certify that the retirement account is eligible to be transferred to the account I have with JPMS.
• JPMS does not accept and will not act as custodian of, and for, any assets that are not actually transferred to JPMS. JPMS specifically
does not approve any notation on the books and records of any entity including, but not limited to, any mutual fund company that
indicates, implies and/or states that JPMS is the custodian of any assets held away from JPMS.
• JPMS may restrict the transfer of certain securities at its discretion.
• The following assets, the list of which is subject to change at any time, are not eligible for transfer into any JPMS accounts, including
J.P. Morgan Self-Directed Investing and J.P. Morgan Automated Investing accounts: annuity contracts, futures, notional investments/
memo positions (e.g., credit default swaps, TBA (to be announced) contracts, time deposits), life insurance and penny stocks. The
following J.P. Morgan Self-Directed Investing and J.P. Morgan Automated Investing account assets, the list of which is subject to
change at any time, are also not eligible for transfer: cash overdrafts, short security positions, physically held securities considered
non-transferable (unpriced, no agent, invalid security identifier), alternative investments (includes any non-publicly traded stock or
bond), legal documents/contracts, partnership shares, margin balances and structured notes.
• In the event that any ineligible assets are included in my transfer request to JPMS, I may not be able to liquidate such assets and/or
JPMS may return such assets to me.
• For transfers into managed accounts, including J.P. Morgan Automated Investing accounts, I authorize and direct JPMS to sell or
exchange these assets, and rebalance the account and understand that this may generate taxable gains or losses. JPMS may not
readily be able to sell certain securities transferred into the account, in which case JPMS reserves the right to hold those securities in
the account and disregard the value of those securities in determining whether the account has met the initial and ongoing program
minimum account balances.
TO DELIVERING FINANCIAL INSTITUTION: I understand that to the extent any assets in my account are not readily transferable, with or
without penalties, such assets may not be transferred within the time frames required by FINRA Rule 11870 or other designated examining
authority. Unless otherwise indicated in Section 2 of this form, I authorize you to liquidate any nontransferable proprietary or nonproprietary
money market fund assets that are part of my account and transfer the resulting credit balance to JPMS. I understand that if I choose a
method of disposition of such assets other than liquidation and transfer, I may become liable for payment of taxes and penalties with respect
to such assets. I also understand that I will be notified in writing by the delivering financial institution and/or by JPMS with respect to the
disposition of any other assets in my account that are nontransferable. I authorize you to deduct any outstanding fees due you from the credit
balance in my/our account. If my account does not contain a credit balance, or if the credit balance in the account is insufficient to satisfy any
outstanding fees due you, I authorize you to liquidate the assets in my account to the extent necessary to satisfy any outstanding fees due
you. If certificates or other instruments in my account are in your physical possession, I instruct you to transfer them in good deliverable
form, including affixing any necessary tax waivers, to enable JPMS to transfer them in its name for the purpose of sale, when and as directed
by me. Upon receiving a copy of this transfer instruction, the delivering financial institution will cancel all open orders for my/our account on
its books. I affirm that I have destroyed or returned to you credit/debit cards and/or unused checks issued to me, if any, in connection with
the account I have designated for transfer.

X
Primary Account Holder Signature Date (month/day/year)

X
Joint Account Holder Signature (if applicable) Date (month/day/year)

THIS SECTION TO BE COMPLETED BY JPMS—Custodial Acceptance

TO THE PRIOR CUSTODIAN/TRUSTEE: J.P. Morgan Securities LLC accepts its appointment as successor custodian for the IRA, Money
Purchase Pension Plan or Profit Sharing Plan account as indicated in Section 1. The receiving account is maintained under Internal
Revenue Code Section 408 or 401, as applicable.
X
J.P. Morgan Securities LLC Signature (To be signed after the form is submitted by the customer.) Date (month/day/year)

33062_CYI v8.0 Page 4 of 6

Your Name Your JPMS Account Number
 Account Transfer Request—Additional Assets

List the additional assets to transfer to your JPMS account — sign and date this page.

Additional Assets
Option A Option B
Transfer from a Brokerage Firm or Trust Company Transfer from a Mutual Fund Company
# of Shares Symbol/CUSIP Mutual Fund # of Shares
or "All" or "Cash" Security Description Account Number or "All" Symbol/CUSIP

X
Primary Account Holder Signature Date (month/day/year)

X
Joint Account Holder Signature (if applicable) Date (month/day/year)

33062_CYI v8.0 Page 5 of 6

Your Name Your JPMS Account Number
 Monetary Deposits and Delivery Instructions
No action needed on this page

This page contains information for your delivering firm. If you are mailing this Account Transfer Request form to us, please include this
page along with the copy of your most recent account statement from the delivering account.

• CHECK DEPOSITS:
Write the Account Holder Name and Account Number on the check and mail the check to:
JPMorgan Chase
JPMS Lockbox 21002
PO Box 44987
Indianapolis, IN 46244-0987

• FED WIRE INSTRUCTIONS:

CHASE
ABA # 021000021
A/C # 066001633
A/C Name: J.P. Morgan Securities LLC
For further credit to: A/C Name & A/C Number
• DTC DELIVERY TO JPMS:
DTC# 0352 – J.P. Morgan Securities LLC
Customer Name and JPMS Account Number
• DELIVERY OF GOVERNMENT WIREABLE SECURITIES:
ABA# 021000018
BK OF NYC/JPMCC
REF: ACATs

33062_CYI v8.0 Page 6 of 6

Your Name Your JPMS Account Number