Brokerage Tax and Legal Forms / Applications

Description

Action

5304 Form (SIMPLE IRA) Establish a SIMPLE IRA plan Download PDF Affidavit of Domicile Specify the legal residence of someone who is deceased Download PDF Affidavit of Forgery To dispute personal bank or brokerage checks and ACH debits that appear as a check Download PDF Affidavit of Full Force and Effect Notarized form to verify Power of Attorney is still in effect Download PDF Affidavit of Unauthorized Transaction To dispute unauthorized ACH debits that appear as a check on the account Download PDF Brokerage Account Link Request & Agreement Link separate E*TRADE Securities accounts to a single User ID Download PDF Certificate of Sole Proprietorship Verify that you are the owner of a sole proprietorship Download PDF Certificate Stop Release Letter Report a security that has been lost or stolen Download PDF Corporate Resolution Specify who can transact on a business account Download PDF Cost Basis Adjustment Form for Inherited Shares Use this form to specify cost basis step up and valuation method. Submit online / Download PDF Designation of Beneficiary (IRA) Specify who will receive your IRA in the event of your death Submit online / Download PDF Designation of Beneficiary (Qualified Plan) Specify who will receive your non-IRA retirement account in the event of your death View Beneficiaries / Download PDF Duplicate Tax Records View duplicate 1099s and other tax forms View online Fixed Income Cost Basis Election Form Make your Cost Basis Elections for all Fixed Income purchases made on or after January 1, 2014 Download PDF Futures Account Discretionary Trading Authorization Instruct E*TRADE Securities to do business with your authorized agent Download PDF Letter of Authorization and Indemnification for Options Trading – IRA Authorize E*TRADE Securities to accept instructions for options trades in your IRA Download PDF Mark-to-Market Selection Set cost basis accounting method to Mark-to-Market Apply online Non-US Entity Questionnaire Provide information on non-US foreign entity accounts Download PDF One-and-the-Same Letter Deposit securities under a name other than your legal name Download PDF Power of Attorney (with Provisions for Durable) Instruct E*TRADE Securities to do business with your authorized agent Download PDF Power of Attorney for Line of Credit (with Provisions for Durable) Instruct Morgan Stanley Private Bank to do business with your authorized agent Download PDF Restricted Security Research Request Release the restrictions on restricted stock Download PDF Rule 144 Restricted Stock Packet Authorize removal of Rule 144 Restriction Download PDF Rule 144(B)(1) Restricted Stock Packet Authorize removal of Rule 144(B)(1) Restriction Download PDF Rule 145(D) Restricted Stock Packet Authorize removal of Rule 145(D) Restriction Download PDF Rule 701 Restricted Stock Packet Authorize removal of Rule 701 Restriction Download PDF Rule 904 Restricted Stock Packet Authorize removal of Rule 904 Restriction Download PDF Special Registration of Stock Certificate Register securities in a name different than the brokerage account title Download PDF Stock or Bond Power Deposit an unsigned stock or bond certificate Download PDF Deposit a security that bears the name of a previous owner Deposit an unsigned stock or bond certificate Download PDF Third Party Release Deposit a security that bears the name of a previous owner Download PDF Transfer on Death Registration Request and Agreement Designate beneficiaries to receive your account in the event of your death Submit online / Download PDF / Submit via Docusign W-8BEN Certificate of Foreign Status Establish that you are a non-U.S. person for federal income tax purposes Download PDF Foreign Taxpayer Identification Number Certification Use this form when a non-us person who is the beneficial owner of the account does not have a foreign taxpayer identification number Download PDF W-9 Request for Taxpayer ID Provide us your taxpayer identification number Submit online / Download PDF / Important Tax Notice Worthless Securities Liquidation Request   Online Form Customer Verification Form Utilize this form along with your Proof of Identification to verify ownership of your account Download PDF W-8BEN-E Certificate of Foreign Status (Entities) Establish that you are a non-U.S. entity for federal income tax purposes Submit online / Download PDF Non-Resident Alien (NRA) Certification Statement For foreign accounts with U.S. address or phone number on record, or accounts requesting a tax withholding. Download PDF Name Change Authorization Form Update your name on your E*TRADE or Morgan Stanley Private Bank account(s) due to marriage, divorce, or other reasons Submit online / Download PDF Reg E Long Form How to report an error with your Reg E remittance transfer Download PDF Beneficiary Verification Form Use this form to verify a beneficiary for an E*TRADE or Morgan Stanley Private Bank account that is converting assets and/or cash due to a deceased owner. The form is only used when assets being claimed are valued under $10,000.00 and claimant is providing non-certified copies of legal documentation. Submit online / Download PDF Notify E*TRADE or Morgan Stanley Private Bank of a Death Notify E*TRADE or Morgan Stanley Private Bank of the death of an account holder Submit online / Download PDF Profit Sharing Plan Documents The terms and conditions of your profit sharing plan Download PDF Document Upload Cover Sheet Securely upload your identification documents Submit online