These documents and forms are commonly needed for nearly every securities transfer:

• Certificate Copy: A copy of the front and back of the physical certificate is required if you are depositing it into a brokerage account or transferring it. Do not send the original certificate.
• Book Entry Statement: A copy of the book entry statement is needed.
• Stock Power: An original, signed stock power reflecting the nature of the transfer or sale of securities. Need help completing it? Contact us for assistance. (Generic Stock Power Power available for download.)
• Photo ID: A current, government-issued photo ID (e.g., driver’s license or passport) is required to verify identity under U.S. AML laws.
• Letter of Instruction: A letter directing the transfer agent to process the transfer.

U.S. Anti-Money Laundering regulations and the Patriot Act require appropriate TAX ID verification for securities holders.

• IRS Form W-8: A sample IRS Form W-8BEN
• IRS Form W-9: A sample IRS Form W-9.

Corporate shareholders are required to provide certain documents to verify the authority of the person signing on behalf of the corporate entity.  The relevant documents are as follow:

• Limited Liability Certification:  This certifies who has authority to sign on behalf of the limited liability company.  A sample is available here. 
• Limited Partnership Certification:  This certifies who is authorized to sign on behalf of the limited partnership.  A sample is available here.
• Secretary’s Certificate:  This certifies who is able to sign on behalf of the corporation.  A sample is available here.
• Trust Agreement:  We will need to see a copy of the trust agreement, which will specify who is authorized to sign on behalf of the trust.

Documents required for transferring securities after a shareholder’s death:

• Affidavit of Domicile: This is an affidavit that attests to the who died, and where their legal residence was at the time of their death.  A sample copy is available here.
• Waiver of Probate: This form is utilized when an estate is not probated.  A sample copy is available here

Divorce Decree:  For obvious reasons, we do not have a sample copy.  However, you will need to provide the transfer agent, brokerage firm, or other appropriate party a copy of your divorce decree signed by the judge.