All Custodians: 3rd Party Asset Movement Chart

Overview: 

Every custodian varies in their policies & procedures and that's no exception for 3rd party asset movement. Each firm has their own form requirements, signature requirements and process to get that 3rd party asset movement done! The below chart is divided by custodian and can assist you through the workflow for 3rd party transactions. Please remember all forms still need to go through Laserfiche approval before submitting to the custodian.

 3RD PARTY WORKFLOW CHART

	Transaction Type	Spire Form Requirements	Custodian Form & Requirements (Non-Retirement Accounts)	Custodian Form & Requirements (Retirement)
Fidelity	Any 3rd Party Check/Journal/Wire	Spire's 3rd Party Attestation	Check/EFT/Bank Wire Request for Non-Retirement Accounts (Page 4, All Account Holder Signatures & Spire's Principal Signature, NO Advisor Signature)	IRA One-Time Distribution Request (Page 5, Account Holder Signature then Page 6, Spire's Principal Signature, NO Advisor Signature)
National Financial	Any 3rd Party Check/Journal/Wire >100K	Spire's 3rd Party Attestation	Check/EFT/Bank Wire Request for Non-Retirement Accounts (Located in Spire Forms as we are acting B/D)	Premiere Select IRA One-Time Distribution Request
Pershing Advisor Solutions	All Transactions (1st & 3rd Party)	Spire's 3rd Party Attestation	Spire's Advisor Attestation is sufficient (The language is the same on Pershing's Attestation)  Include Spire's Advisor Attestation in the Imaged Document.	Spire's Advisor Attestation is sufficient (The language is the same on Pershing's Attestation) Include Spire's Advisor Attestation in the Imaged Document.
Pershing DBS	Checks & Wires	Spire's 3rd Party Attestation	Pershing DBS Check/Journal/Wire Request for Non-Retirement Accounts (Located in Spire Forms as we are acting B/D)
Schwab	Checks/Wires (as of 10/12/2015)	Spire's 3rd Party Attestation	Money Movement Cover Letter signed by the IA, Investment Advisor + Schwab Check and Journal Request Form OR Schwab Wire Transfer Form	Money Movement Cover Letter signed by the IA, Investment Advisor + Schwab IRA & ESA Distribution Form	Go to the Move Money Tab in your Schwab Advisor Center, enter the transaction and either attach or fax the forms to Schwab (Schwab's General Fax is located in our Global Address Book in Outlook)