Non-Probated Estates
To transfer securities registered in the name of a deceased person whose representatives have not been confirmed by the court, we need the following documents.
- Probate waiver bond
- Security certificate or statement of ownership
- Declaration of transmission
- Last will and testament (if available)
- Death certificate
- Securities transfer form (if you want to transfer the securities to someone other than the legal representatives)
Security certificate or statement of ownership
We require a security certificate or statement of ownership for shares, warrants, units, rights, bonds, debentures, etc. that the deceased owned. Some companies issue statements of ownership instead of certificates. If this is the case in your situation, please send us the statement.
We require two original copies of the declaration of transmission. The declaration of transmission is an affidavit sworn before a notary public or commissioner for oaths by the deceased person’s legal representatives. It provides formal evidence of the following information regarding the securities:
- The death of the security holder
- The existence of legal representatives
- The ownership of the securities
- The deceased’s place of residence
If you are dealing with more than one class of securities or with securities in more than one issuer, we will need a separate declaration of transmission for each class or issuer.
Last will and testament (if available)
Please provide two original or notarial copies of the deceased person’s will.
Please provide two original or notarial copies of the death certificate.
Once we have these documents in satisfactory form, we will issue a new certificate or security ownership statement in the name of the legal representatives.
Securities transfer form (if applicable)