Documentation requirements will vary based on specific circumstances if the registered shareholder is deceased. Please contact a customer service representative for assistance at 800 428 0717. Typically, at a minimum, you must provide the following documentation before your request can be processed:
The new account form, completed and signed by the executor or heir. Please do not sign the new account form with the decedent's name.
Photocopy of death certificate of the deceased owner(s)
Photocopy of court-issued documents showing your appointment as an executor or proof that you are an heir
Verification of the estate's tax identification number (either an assignment letter from the IRS or a copy of a prior year's tax return for the estate)
Note: If you are the spouse of the deceased shareholder and you reside in Arizona, California, Idaho, Louisiana, Nevada, New Mexico, Texas, Washington or Wisconsin, you can provide the claim card and the photocopy of death certificate of the deceased owner(s) and the court appointment or small estate affidavit for the deceased spouse.
If an estate was never formally established for the deceased by a probate court, and the value of the shares falls within the requirements of a "small estate" claim, then Georgeson would accept the same "small estate" documents as required by the state where the shareholder was a resident at the time of their death.