ATON Transfers

The Transfer Positions screen lets you transfer US or Canadian stocks, options and cash held at another brokerage firm to us through Account Transfer on Notification (ATON), the Canadian equivalent of ACATS.

When you select ACATS as the transfer method on the Transfer Positions page, you can:

  • Enter an ATON transfer, in which all of your assets are transferred from a third-party broker to your account.
  • Save new broker information, which lets you save and reuse third-party broker information for future ATON transfers.

Your Account Name, Tax Identification Number and Client Type (i.e. individual, joint, Roth IRA), must exactly match the third-party broker account in order for the transfer to take place.

About Saved Broker Information

If you want to use your third-party broker for an ATON transfer AND save it in our system for future use, you must complete two tasks:

  1. Initiate a new ATON transfer, but choose to save the new broker information. No transfer is performed in this step.
  2. Initiate a new ATON transfer using the saved broker information. This is where you select the assets to transfer.

Note: You cannot simultaneously save new broker information and perform a transfer. The transfer must either be performed without saving the broker information, or the transfer must be performed after the broker information is saved.

  1. Click Transfer & Pay > Transfer Positions
    • Alternatively, click Menu in the top left corner > Transfer & Pay > Transfer Positions
  2. If you have multiple accounts or account partitions, or if you have a master account and you manage one or more client or sub accounts, the Account Selector opens. Select the account you want to use for this transaction, or use the search function in the Account Selector to find the desired account. Click Continue to submit your account selection and close the Account Selector.
  3. In the Transaction Type list, select Inbound Position or Outbound Position.
  4. Select the Region of the delivering firm.
  5. In the Method list, select the transfer method.
  6. In the Broker Information section, complete all fields to identify the third-party broker who will be transferring the assets. Select the broker from the drop-down list; enter your account number, account title and account type at the selected broker; and enter your Tax ID number.
  7. To continue with ATON transfer, set Save Broker Information to Yes.
  8. Enter the name of the saved broker information. This is the name you will use when you apply this information to a future position transfer.
  9. Click Continue.
  10. If prompted, confirm your identity and enter the confirmation number we emailed you in the fields provided.

    Your new broker information has been created. Now you can return to the Transfer & Pay > Transfer Position screen and initiate a new transfer using the newly-created broker information.

  11. See Saved Information for information about viewing and deleting saved broker information.

To obtain instructions on how to submit an ATON transfer request, please click here.

For more information, visit the Fund Your Account page on our website.