DATA GATHERING LISTS

ACCOUNT OPENING AND TRANSFER

Broker Protocol Data Points General Account Information

Client Name Account Number
Address Account Type
Phone Number Initial Source of Funds
Email Ongoing Source of Funds
Account Titles Cash Sweep
Statement Delivery Preference
This is the specific list identified in the Broker Confirms Delivery Preference
Protocol as "the Client Information" Dividend/Interest Preference
Proxy Authorization
General Client Information
Social Security Number This is general information often required when
Date of Birth opening a new account
Employment Status
Source of Income Account Transfer Form
Employer Name Delivering Firm Account Registration
Occupation Delivering Firm Account Number
Occupation Industry Name of Delivering Firm
Citizenship Delivering Firm Clearing Number
Control Person Identification Delivering Firm Account Type
Annual Income List of Assets to Transfer
Net Worth (If anything other than a full transfer)
Driver's License Number
Driver's License Expiration Date This is information that may be needed to initiate the
transfer of assets
This is a list of additional information that may be
required to add a client to the system

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 DATA GATHERING LISTS
ADDITIONAL FEATURES AND ACCOUNT TYPES

Additional Account Features & Requirements Specific Account Types & Information Required

Feature Requirements Account Type Requirements

Beneficiary Information Beneficiary Information
Full Name Full Name
Relationship to Account Owner Relationship to Account Owner
Transfer on Death Designation Social Security Number or Tax ID Retirement Social Security Number or Tax ID
Date of Birth Date of Birth
Type (Primary vs Contingent) Type (Primary vs Contingent)
Percentage Percentage
Move Money Preferences Decedent Name
Destination Account Number Decedent Date of Death
Internal Transfers Beneficiary Retirement
Account Registration Account Owner Relationship to Decedent
Direction (TO and/or FROM Bank) Beneficiary Retirement Account Type
Account Type (Checking vs Savings) Trust Information
Bank Name Trust Name
ACH (Automated Clearing House)
Routing (ABA) Number Trust Tax ID Number
Name on Bank Account Effective Date of Trust
Bank Account Number Trust Latest Date of Amendment
Bank Name Trust Type
Trustee Client Information
Bank City/State
(See General Client Information)
Routing Number Trust Authorizations
Wire Transfers
Bank Account Number Business Information
For Further Credit To Information Entity Name
Name on Bank Account Entity Type
Address on Bank Account Tax ID Number
Banking Features Entity Address
Business
Check Imprint Industry
Authorized Agent Client Information
Check Type
(See General Client Information)
Check Writing Control Person Client Information
Check Design
(See General Client Information)
Number of Checks Anticipated Activity
Delivery Method Requested Loan Amount
Debit Cards Name on Card Purpose of the Loan
Securities Based Loan
Credit Cards Credit Card Application Declarations
Margin Additional Signature Requirements Pledged Account Numbers
Pledged Account Titles
This is a list of additional information that may be needed when adding
features to an account This is a list of additional information that may be needed when opening
specific account types

All information provided by Advisor Transition Services should be considered general guidelines. Consult your custodian for specifics.

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