Brokerage Clerk how-to

How to Process an Account Transfer

Transfers move client assets.

Updated By the Career Education Institute Curriculum Team
Quick answer

Transfers move client assets. In short: verify; check; submit, then complete the remaining steps below.

Step by step

  1. Verify the request.

  2. Check account details.

  3. Submit through ACATS.

  4. Track status.

  5. Fix rejections.

  6. Confirm completion.

Safety reminders for brokerage clerks

  • Protect client data
  • Follow FINRA rules
  • Report suspicious activity
  • Follow trade error procedures

Trade · Settlement · T+1 · Confirmation · ACATS · DTC: see the full brokerage clerk glossary.

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