Individual Account Forms

Forms Deceased / Transfer Forms
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Requirements for Deceased Individuals
- Individual Account
  - Document requirements for an Estate Account apply in this case. Letter of Instruction will be needed to move assets from the Individual Account to the Estate Account.
  - NFS New Account Application
  - Investor Disclosure Checklist (Form #203)
  - Privacy Policy Statement (Form #204)
  - Customer Receipt Form (Form #221)
  - OFAC Search Link
  - Death Certificate (From State)
  - Affidavit of Domicile
  - Stock Power
  - Letters of Testamentary (From State)
- Joint Accounts
  - Death Certificate (From State)
  - Affidavit of Domicile
  - OFAC Search Link
  - Business Continuity Plan Disclosure (Form #238)
  - If first tenant is deceased:
    - Document requirements for an Individual Account apply in this case.
    - Letter of Instruction will be needed to move assets from the Joint Account to the Individual Account.
  - If second tenant is deceased:
    - Letter of Instruction will be needed to move assets from the Joint Account to the Individual Account.
- Custodial Accounts
  - Death Certificate (From State)
  - Affidavit of Domicile
  - Stock Power
  - NOTE - If minor is deceased or custodian is deceased:
    - Letter of Appointment will be needed to appoint an alternative custodian.
- IRA Account
  - Death Certificate (From State)
  - Affidavit of Domicile
  - Stock Power
  - If Beneficiary is spouse:
    - Spouse may choose to move all assets into their own IRA Account.
    - Spouse may choose to move all assets into a Death Beneficiary IRA Account and take distributions from there.
    - Business Continuity Plan Disclosure (Form #238)
    - Spousal Beneficiary Form
  - If Beneficiary is other than spouse:
    - Beneficiary may choose to take a lump sum distribution from the Deceased IRA Account.
    - Beneficiary may choose to move all assets into a Death Beneficiary IRA Account and take distributions from there.