Transferring Account Assets

How do I transfer assets from one Capital One Investing℠ account to another?

Depending on what type of assets you wish to transfer, transferring between accounts can either be completed online or by using our Transfer Assets form. Use this handy chart to check if your transfer is eligible to be placed online. There is no charge for transferring assets between Capital One Investing℠ accounts.

Transfer assets between accounts with these steps:

  1. Go to Accounts > Overview > Forms & Applications (sign in required)
  2. Under 'Transfer assets', look for 'Transfer assets between Capital One Investing Accounts'
  3. Click the link to Start now and follow the steps to complete your transfer online or print the Transfer Assets Form

How do I transfer assets to my Capital One Investing℠ account?

You can transfer the assets in your non-Capital One Investing℠ account to your Capital One Investing account as long as you meet a few simple criteria. You’ll need your other broker’s account statement to get started. Simply follow the instructions below and we’ll do the rest!

Start the process here:

  1. Go to Accounts > Overview > Forms & Applications (sign in required)
  2. Next to 'Transfer a non-Capital One Investing account to a Capital One Investing account,' click Start now
  3. Follow the on-screen instructions.
  4. Near the end of the process, you’ll be asked to complete the transfer form by adding your Social Security Number and your signature. In most cases, you’ll be able to add your signature electronically, but some requests require you to print and sign the transfer form. See the eligibility requirements below for more detail.
  5. Important: Attach a copy of your most recent account statement from the transferring firm.
  6. Return the form and your statements to Capital One Investing, either online, by fax, or by mail. If you printed your form and plan to submit it electronically, please note we must receive all documents as one file, including your statement.
  7. Once we have your paperwork, we will post a message to your account. Transfers between firms can take 4 – 6 weeks to complete.

Electronic Signatures: Transfer forms can be signed electronically if the transfer request meets the following criteria:

  • The account types and registration match
  • The transfer does not involve a Joint account
  • The delivering firm is ACAT eligible (ACAT is an automated system used to transfer assets)
  • The transfer instructions are in-kind, meaning you are not requesting a liquidation of your originating account

Note:There is no charge from us when you transfer an account from another brokerage, but your other brokerage may assess a charge on their end of the transfer.

How do I transfer assets out of my Capital One Investing℠ account?

When making a transfer from your Capital One Investing? account to a non-Capital One Investing brokerage account you can request either a partial transfer (transfer of specific assets) or a full transfer (transfer of all assets). Follow the instructions below to request a transfer out of your Capital One Investing account:

First, you will need to obtain a copy of the receiving broker's account transfer form. When completing the form, you'll need to list:

  • Whether you are completing a partial or full transfer
  • The ticker symbol of the securities to be transferred
  • The number of shares to be transferred
  • The amount of cash to be transferred

When requesting a transfer, only whole shares may be transferred. Fractional shares cannot be transferred and are liquidated for a full transfer or left in your Capital One Investing account for you to hold or liquidate for partial transfers. Please note that option contracts cannot be transferred if they are within 30 days of expiration.

For partial transfers, there is a cost of $15 per security being transferred, and $15 for any cash, up to a maximum of $75.

For full transfers, there is a cost of $75. This includes the transfer of all whole shares of securities held in your Capital One Investing Account, the liquidation of any partial shares (as needed), and the transfer of the cash balance.

When you submit the transfer form, please let the receiving brokerage know that Capital One Investing is not an ACATS (Automated Customer Account Transfer System) eligible broker and that the transfer will need to be completed manually. In addition, the form must have a Medallion Signature Guarantee.

Please be sure to include a printout of your most recent Capital One Investing account statement with the transfer form. If you are transferring an IRA or ESA account, please also include a Letter of Acceptance from the firm you are transferring to. Once we receive your paperwork, an alert message will be posted to your account within three business days. Please note we cannot accept paperwork that has been altered in any way (e.g. items cross out or overwritten). Once the transfer is approved, it will take approximately 30 days to complete.

Tip: If you wish to prevent further investments while you are in the process of requesting your transfer out, you will want to switch off your ShareBuilder® investment plan. Also, if on the Advantage Pricing Program, you can unsubscribe to the Basic Pricing Program to prevent further monthly subscription charges (but you will not be able to sign up again in the future as this pricing is no longer available to new subscribers). Lastly, please note it is not possible to use a wire withdrawal request to transfer assets an external investment account. If you simply wish to withdraw funds from your investment account via wire, click here for instructions.

How do I deposit stock certificates into my Capital One Investing℠ account?

We can deposit your stock certificate into your account for you as long as the stock trades on one of the National Securities Exchanges: NYSE, NASDAQ and NYSE MKT LLC (as seen next to the stock’s symbol on a detailed quote page). Here’s how to get the process started for each different stock certificate you have:

  1. Complete the Irrevocable Stock Power form (must be notarized or Medallion Signature Guaranteed)
  2. Include a Letter of Authorization form if you’re changing the ownership of the stock certificate from Individual to Joint (just needs one signature) or Joint to Individual (needs the signatures of both of the certificate’s owners)
  3. Mail form(s) and stock certificate to:

    Capital One Investing, LLC
    ATTN: Deposit Stock Certificates
    PO Box 4249
    Seattle, WA 98194-0249

Tip: To process your deposit, please do not fill out or sign the back of the stock certificate. It’s also a good idea to make a photocopy of the certificate for your own records as we can’t return the original you send us.