ADVICEWORKS JOB AID

ADVICEWORKS JOB AID Asset Movement ACAT Clearing Firm Numbers

ADVISOR PORTAL: Asset Movement ACAT Clearing Firm Numbers

Description

Automated Customer Account Transfer (ACAT) simplifies the transfer process, as assets are transferred electronically from one brokerage firm to another. To request an ACAT transfer, you may need the delivering firm's clearing number as noted in the chart below.

For ACAT eligible firms not listed, please see:

A.G. Edwards & Sons ADP Allstate Financial Services, L.L.C. American Century Brokerage, Inc American Express Ameriprise Ameritrade Arvest Investments Aura Financial Services AXA Advisors, L.L.C. B&T Securities Banc of America Securities, L.L.C. Baird Bear Stearns Securities Berthel, Fisher & Co. Blair (William) & Co., L.L.C. Brill Securities BrownCo, L.L.C. Cambridge Inv Research Capital Investment Group CapTrust Cetera Investment Services Charles Schwab Chase Retirement Services Citigroup Commonwealth Financial Network Cosse International Securities Curian Clearing, L.L.C. Cutter & Co. D.A. Davidson & Co. David Lerner Davenport & Co. Dominion/First Southwest Co.

0201 0158 0226 0443 0216 0756 0188 0141 0750 0075 0226 0226 0547 0352 0141 0771 0352 0785 0226 0750 0141 0701 0164 0226 0418 0226 8153 0300 0141 0361 5144 0715 0309

July 2020

For broker dealer use only. Not for use with the public.

1

Cetera Financial Group ? 200 North Pacific Coast Hwy, Suite 1200 ? El Segundo, CA 90245

ADVICEWORKS JOB AID Asset Movement ACAT Clearing Firm Numbers

E*Trade

Eagle One Investments, L.L.C. Edward Jones Emmett A. Larkin & Co. Empire Financial Group Ferris, Baker & Watts Fidelity Brokerage (accounts starting with 2 and two letters are mutual fund accounts) First Allied Securities First Clearing L.L.C./Wells Fargo Clearing First Wall Street Corp Fiserv Securities Folio Investments [Kindom Trust] Freedom Investments Goldman Sach's Goldman Sach's Execution & Clearing H&R Block Financial Advisors Hilliard Lyons HSBC Janney Montgomery Scott JP Morgan KeyBanc Capital Markets, Inc Legent Clearing, L.L.C. Legg Mason Wood Walker (Brokerage) Lehman Brothers accounts beginning 700 Lehman Brothers accounts beginning 500 Lincoln Linsco/Private Ledger Corp. McDonald Investments Merrill Lynch Mesirow Financial ML Stern & Co. Morgan Keegan Morgan Stanley DW Inv. Nat City National Advisors Trust National Financial National Securities NBC Securities Neuberger Berman Nuveen Investments

0385 - Retail/Non-Retirement Cash requests will reject. Client will have to call E*Trade prior to initiating the ACAT or send cash via wire request. 0727 0057 0371 0234 0039 0226

0733 0141 0234 0188 0728 0571 0005 0501 0756 0768 0816 0374 0226/0352 0799 0052 0740 0229 0158 0266 0075 0799 0671 (#8862 for gifting stock) 0727 0581 0780 0015 0141 0226 0226 0632 0306 0158/0074 0448

July 2020

For broker dealer use only. Not for use with the public.

2

Cetera Financial Group ? 200 North Pacific Coast Hwy, Suite 1200 ? El Segundo, CA 90245

ADVICEWORKS JOB AID Asset Movement ACAT Clearing Firm Numbers

Oppenheimer & Co OptionsXpress Park Avenue Securities Pearlman Karvy Penson Financial Services People's Securites Pershing Advisor Solutions Piper Jaffray & Co. Private Client Group Pruco Securiries Raymond James & Associates RBC Dain Rauscher Richards, Merrill & Peterson Ridge Clearing & Outsourcing Robert W. Baird & Co. Rydex Sammon Securities SEI

Scott & Stringfellow Scottrade Smith Barney Smith, Moore, & Co. Southwest Securities Stephens, Inc. Sterne Agee & Leach Stifel, Nicholaus, & Co. Summit Brokerage Services Sun Trust Investment Services SunAmerica Trust Co of America (6 digit # on prefixes FPI CGM & HZI) U.S. Bancorp Investments UBS Financial Services US Clearing USAA Uvest Financial Services Group Vanguard Brokerage Services Wachovia Securities L.L.C. Wayne Hummer Investments Wedbush Morgan Wells Fargo Brokerage Services L.L.C. Ziegler (B.C.) & Co Zions Direct

0571 0338 0226 8086 0234 0158 0443 0311 0141 0141 0725 0235 8192 0158 0547 0226 0141 2039 or 2663 (statement will show which DTC# to use) 0702 0705 0418 0494 0279 0419 0750 0793 0141 0226 0443 5981 (Attempt as ACAT 1st) 0280 0221 0158 0226 0443 0062 0141 0141 0103 0141 0443 0443

July 2020

For broker dealer use only. Not for use with the public.

3

Cetera Financial Group ? 200 North Pacific Coast Hwy, Suite 1200 ? El Segundo, CA 90245

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