Broadridge Legal Transfer Form – Fill Out and Use This PDF

Broadridge Legal Transfer Form PDF Details

Managing the transfer of shares can often be a complex process, but with the Broadridge Legal Transfer Form, shareholders are provided a structured way to handle various situations requiring the transfer of stock. Broadridge Corporate Issuer Solutions, located in Brentwood, NY, offers a comprehensive solution for shareholders looking to transfer shares due to various circumstances such as changes in ownership, death of a shareholder, or corrections in account information.

Types of Transfers Covered

The Broadridge Legal Transfer Form handles several common transfer scenarios. Please review the list below to confirm which type of transfer applies to your account:

• Estate transfers: Transfer shares following the death of a registered shareholder. You will need to attach a death certificate, letters testamentary, or an affidavit of domicile, depending on the size of the estate.
• Gift transfers: Transfer shares as a gift to a family member or another individual. Please note the date of gift and original cost basis for tax reporting.
• Joint account changes: Add or remove a joint account holder from an existing stock account.
• Name or registration corrections: Correct errors in the account name, address, or registration type due to marriage, legal name change, or clerical error.
• Trust account transfers: Move shares into or out of a trust account. Attach the relevant pages of the trust agreement to verify trustee authority.

Required Documents and Information

Before completing your transfer request, please gather all necessary supporting documents. Missing items will delay processing. The following are typically required for a successful transfer of shares:

• Original stock certificate(s) representing the shares to be transferred
• A Medallion Signature Guarantee stamp from an eligible bank, credit union, or broker-dealer
• Government-issued photo identification for all parties involved in the transfer
• Supporting legal documents appropriate for your transfer type (death certificate, affidavit, court order, trust agreement, or power of attorney)

Understanding the Medallion Signature Guarantee

The Medallion Signature Guarantee is a certification that verifies the signature of the transferring shareholder. It is different from a standard notarization and must be obtained from a financial institution that participates in an approved Medallion Signature Program. The guarantee must cover the total market value of the shares being transferred. Please confirm the guarantee amount with your financial institution before having the form stamped.

Special Instructions for Certain Accounts

If your account includes dividend reinvestment or direct deposit options, please attach a separate letter of instruction to your transfer form. The letter should be signed by all registered account holders and should specify the new account information or updated direct deposit details. For accounts that hold fractional shares, please contact Broadridge Corporate Issuer Solutions directly to discuss how fractional shares will be handled during the transfer process.

Processing Time and Mailing Instructions

Once you have completed the Broadridge Legal Transfer Form and assembled all required documents, mail your complete package to Broadridge Corporate Issuer Solutions in Brentwood, NY. Processing typically takes 5 to 10 business days after Broadridge receives all required documents. Please send your package via a traceable mail service to ensure safe delivery. Do not fold or damage the stock certificates.

For additional stock transfer resources, see our related forms: the MetLife Stock Transfer Form, the Stock Transfer Ledger Template, and the Transfer of Ownership Form.