Frequently Asked Questions:

How do I go about making changes on my account?

For your protection, any change that affects your distribution mailing address must be made in writing and signed by all titleholders that are listed on the account. We have listed the most common types of changes and the ways you can accomplish those:

Change via Telephone:

Account numbers

Home address (if your checks are mailed elsewhere)

Changes required in writing by all titleholders:

Change of Registered Representative or Broker/Dealer Firm

Changes required in writing by all titleholders OR registered representative:

Home address change IF this is also the address for your distribution checks

distribution address

Changes to a title on an account:

Anytime a security has a change in title, a registered Transfer Agent must process the change and adhere to the rules of the SEC and to the policies and rules that may be outlined in your prospectus of that particular security. All changes to a title must be in writing and signed by all current legal titleholders with all signatures medallion signature guaranteed. The paperwork that accompanies the request is as important as the request in order to accomplish what you need. Here are a few of the more common changes and what they require:

Transfer to a Trust from an individual or joint tenant:

A Letter of Instruction signed by all current titleholders, plus pages of the trust showing the name of the trust, name of trustee, date and trustee signatures.

Joint tenant registration:

Transfer from a deceased titleholder to the remaining joint tenant: A letter of Instruction signed by the remaining joint tenant (no medallion guarantee required) and a certified death certificate.

Transfer from a deceased titleholder to an estate or a beneficiary:

A Letter of Instruction certified death certificate (we can return the original upon request) and certified letters of testamentary dated within 60 days of our receipt. If there are no letters of testamentary because the estate did not go through probate, an Affidavit may be sent in lieu of the letters. We can mail you the Affidavit and the beneficiary can sign it and must be medallion signature guaranteed.

For further transfer instructions, please go to the Transfer Guidelines page.

 

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