us.etrade.com Open in urlscan Pro
12.221.217.40  Public Scan

Form analysis
0 forms found in the DOM

Text Content

Forms and Applications
Skip to content
 * Banking
 * Stock Plans

Contact us Log on
 * Account Types Expand Account Types keyboard_arrow_down
   * Overview
   * Brokerage
   * Retirement
   * Core Portfolios
   * Managed Portfolios
   * Small Business
   * Bank
 * Investment Choices Expand Investment Choices keyboard_arrow_down
   * Overview
   * Stocks
   * Options
   * Mutual Funds
   * ETFs
   * Futures
   * Bonds and CDs
   * Prebuilt Portfolios
   * IPO / New Issues
 * New to Investing
 * Trading Expand Trading keyboard_arrow_down
   * Overview
   * Platforms
   * Margin Trading
   * Execution Quality
 * Pricing and Rates
 * Knowledge Expand Knowledge keyboard_arrow_down
   * Overview
   * Investing Basics
   * Advanced Trading
   * Retirement Planning
   * Tax Planning
   * Morgan Stanley Thought Leadership
   * Market News
   * Thematic Investing
   * Events
   * Life Stages
 * View more items more_horiz

search Search
Search by Symbol/Keyword
search



Close search close
Open an account
Log on Open search search
Forms and Applications
Open an account
Search by Symbol/Keyword
search



Close search close
 * Account Types arrow_back Back to Main Menu
   * Overview
   * Brokerage
   * Retirement
   * Core Portfolios
   * Managed Portfolios
   * Small Business
   * Bank
 * Investment Choices arrow_back Back to Main Menu
   * Overview
   * Stocks
   * Options
   * Mutual Funds
   * ETFs
   * Futures
   * Bonds and CDs
   * Prebuilt Portfolios
   * IPO / New Issues
 * New to Investing
 * Trading arrow_back Back to Main Menu
   * Overview
   * Platforms
   * Margin Trading
   * Execution Quality
 * Pricing and Rates
 * Knowledge arrow_back Back to Main Menu
   * Overview
   * Investing Basics
   * Advanced Trading
   * Retirement Planning
   * Tax Planning
   * Morgan Stanley Thought Leadership
   * Market News
   * Thematic Investing
   * Events
   * Life Stages
 * Banking
 * Stock Plans
 * Contact us

Log on Open an account

PLEASE UPGRADE YOUR BROWSER

E*TRADE uses features that may not be supported by your current browser and
might not work as intended. For the best user experience, please use an updated
browser.


ALL FORMS AND APPLICATIONS

New Applications | Add Account Features | Deposit and Withdrawals | Transfers
and Distributions | Tax and Legal | Account Agreements and Disclosures

Throughout 2023, E*TRADE Securities and E*TRADE Capital Management will be
transitioning existing clients to Morgan Stanley Smith Barney LLC. To identify
the broker-dealer that is currently servicing your account(s), go to the
accounts broker-dealer page or check the bottom of your most recent account
statement.

If you're already an E*TRADE or Morgan Stanley Private Bank customer, you can
securely upload your completed documents (log on required).





NEW APPLICATIONS

 


NEW BROKERAGE ACCOUNT FORMS / APPLICATIONS


DESCRIPTION


ACTION

Business Account Application Open a brokerage account for a corporation,
partnership, or sole proprietorship Download PDF International Business Account
Application Open a brokerage account for an internationally based corporation,
partnership, or sole proprietorship Download PDF Check status of a new brokerage
account Inquire about the status of a new account application View online
E*TRADE Complete Investment Account Application (brokerage account) Open a core
brokerage account with investing and cash management Apply online / Submit
Online (Individual) (Joint) (Custodial) / 
Download PDF International Complete Investment Account Application (brokerage
account) Open a core brokerage account for non-US citizens with investing and
cash management Download PDF Futures Account Application Enable your eligible
brokerage account from the My Profile page Apply online Futures Business
Application Open a Futures Business Account Download PDF Futures Trust
Application Open a Futures Trust Account Download PDF Portfolio Margin
Investment Account Application (brokerage account) Open a brokerage account with
special margin requirements for highly sophisticated options traders Submit
online / Submit online (Joint) / Download PDF Portfolio Margin Business
Brokerage Account Application Open a business brokerage account with special
margin requirements for highly sophisticated options traders Download PDF
Portfolio Margin Trust Account Application Open a Portfolio Margin Trust Account
Download PDF Investment Club Account Open an account for a group of people to
invest together Download PDF Estate Account Open an account to use for estate
planning Submit online / Download PDF Registration Change for Complete
Investment Account Registration Change Form for Individual, Joint, Custodial
Complete Investment Account Types Download PDF Trust Account Open a brokerage
account registered in the name of an established trust Submit online / Download
PDF Conservatorship Account Open a non-retirement account managed by a
court-appointed conservator or guardian Download PDF

 


NEW BANK ACCOUNT FORMS / APPLICATIONS


DESCRIPTION


ACTION

Bank Account Open a checking account Apply Online / Download PDF Bank Business
Account Open a bank account for a business entity Download PDF Bank Trust
Account Open a trust, estate, or legal trust account Download PDF

 


NEW BROKERAGE RETIREMENT ACCOUNT FORMS / APPLICATIONS

(Contribution Limits & Deadlines)


DESCRIPTION


ACTION

Inherited IRA (formerly Beneficiary IRA) Open a tax-advantaged retirement
account to receive inherited IRA assets Submit online / Download PDF Individual
401(k) Application Materials Open a tax-deferred retirement plan if you are
self-employed with no employees Submit online / Download PDF Individual 401(k)
Plan Documents The terms and conditions of your individual 401(k) plan Download
PDF Investment-Only Retirement Plan Open a pooled account or an account for the
benefit of a single plan participant Download PDF Simplified Employee Pension
(SEP) IRA  Open a tax-advantaged retirement account if you are self-employed, or
own a small business Apply online / Download PDF Savings Incentive Match Plan
for Employees (SIMPLE) IRA Open a tax-advantaged retirement account for your
small business that allows employee contributions as well as an employer match
Submit online / Download PDF IRA for Minors Open a tax-advantaged retirement
account for a child Submit online / Download PDF IRA (Traditional, Roth,
Rollover) Open a tax-advantaged retirement account for individuals Apply online
/ Download PDF

 


NEW EDUCATIONAL SAVINGS ACCOUNT FORMS / APPLICATIONS

(Contribution Limits & Deadlines)


DESCRIPTION


ACTION

Coverdell Education Savings Account Open a tax-advantaged account for college
savings Submit Online / Download PDF Custodial Account Open a brokerage account
for the benefit of a minor Apply Online / Download PDF

Back to Top


ADD ACCOUNT FEATURES

 


ADD ACCOUNT FEATURES FORMS / APPLICATIONS


DESCRIPTION


ACTION

Add/Remove Beneficial Owner Add/remove beneficial owner(s) to/from your
brokerage account (for entity accounts only) Download PDF Add/Remove Beneficial
Owner Add/remove beneficial owner(s) to/from your bank account (for entity
accounts only) Download PDF Amendment to Line of Credit Request to add or remove
pledged collateral accounts pledged to your Line of Credit Download PDF
Automatic Investment Plan Automatically invest in mutual funds over time through
a brokerage account1 Enroll online Add Authorized Agent Add Authorized Agent to
your brokerage account Download PDF Employee Stock Plan Account Activation
Manage your employee stock plan benefits Activate online / Download PDF
International Employee Stock Plan Account Activation Employee stock plan
management for non-U.S. customers Activate online / Download PDF (Get translated
Instructions) IRA Options Transactions Authorization and Indemnification
Agreement Authorize E*TRADE to accept instructions for options trades in your
IRA Download PDF Limited Margin IRA Upgrade Add limited margin trading to an
existing IRA account Enroll online Margin Upgrade Add margin trading to an
existing brokerage account Enroll online / Download PDF Online Bill Pay Enroll
your bank or brokerage account in our free Bill Pay service Enroll online
Options Upgrade Add options trading to an existing brokerage account Enroll
online / Download PDF Options Upgrade (IRA) Add options trading to an existing
brokerage IRA Enroll online / Download PDF Order checks and deposit slips Order
new checks for your bank or brokerage account Order online Order E*TRADE
Complete Debit Card Request a new debit card for your E*TRADE Complete
Investment Account Order online Real-time quotes Add real-time stock and options
quotes to your brokerage account Request online Request Digital Security ID
Request this key-chain sized device or soft token that makes unauthorized log-in
virtually impossible2 Request online

Back to Top


DEPOSITS AND WITHDRAWALS

 


BROKERAGE FORMS / APPLICATIONS


DESCRIPTION


ACTION

Brokerage Instructions for Incoming Assets View instructions for the various
ways to make deposits Download PDF Certificate Stop Release Letter Report a
security that has been lost or stolen Download PDF Deposit of Shares Information
Request Form Request information/documentation for a deposit of shares Download
PDF Dividend Reinvestment Program (DRIP) Enrollment / Withdrawal Request Begin
or end participation in a DRIP Apply online / Download PDF Investment-Only
Withdrawal Request Withdraw assets from your Investment-Only retirement plan
Download PDF IRA / Retirement Account Deposit Slip Send with your retirement
account check deposit Download PDF Liquidate DRIP Fractional Shares Sell
fractional shares acquired through a DRIP Apply online Order checks and deposit
slips Order new checks for your bank or brokerage account Order online Order
E*TRADE Complete Debit Card Order a new debit card for your E*TRADE Complete
Investment Account Order online Qualified Retirement Plan Distribution Request
Withdraw assets from your Individual 401(k), Profit Sharing, or Money Purchase
Pension Plan Download PDF / Submit online Qualified Retirement Plan Loan Kit
Request a loan from your Individual 401(k), Profit Sharing, or Money Purchase
Pension Plan Download PDF Qualified Retirement Plan Loan Repayment Deposit Slip
Submit with your loan repayment check for your Individual 401(k), Profit
Sharing, or Money Purchase account Download PDF Qualified Retirement Plan
Termination Amendment Kit – Individual 401(k) Used by employers or plan
administrators prior to plan termination to amend an Individual 401(k) plan for
recent legislative, regulatory, and qualification-related updates Download PDF
Qualified Retirement Plan Termination Amendment Kit – Money Purchase Pension
Plan Used by employers or plan administrators prior to plan termination to amend
their Money Purchase Pension plan for recent legislative, regulatory, and
qualification-related updates Download PDF Qualified Retirement Plan Termination
Amendment Kit – Profit Sharing Plan Used by employers or plan administrators
prior to plan termination to amend their Profit Sharing plan for recent
legislative, regulatory, and qualification-related updates Download PDF Request
a Stock Certificate Request a paper certificate for securities you own Submit
online Request a Check Withdrawal - Non-IRA Ask E*TRADE to send you a check
payable from your brokerage account Submit online Set Up Recurring Deposits Set
up automatic recurring deposits to your brokerage account Enroll online SIMPLE
IRA Contribution Form Allocate SIMPLE IRA contributions to your employees'
accounts Download PDF Stop Payment Request a stop payment on a check you've
written Submit online / Download PDF Wire Money into Account Electronically move
money into your brokerage account Submit online Wire Money out of Account
Electronically move money out of your brokerage account Submit online Wire Money
out of Account - Third Party or International Request Electronically move money
out of your brokerage account to a third party or international destination
Submit online

 


BANK FORMS / APPLICATIONS


DESCRIPTION


ACTION

Designation of Beneficiary - Bank Account Register your existing Individual or
JTWROS Morgan Stanley Private Bank account as a Payable on Death (POD) account
Download PDF Direct Deposit Authorization Instructions on setting up automatic
deposits for your paycheck or other recurring deposit Download PDF IRA Deposit
Slip Send with your IRA check deposit Download PDF Order Checks and Deposit
Slips Order new checks for your Morgan Stanley Private Bank or E*TRADE brokerage
account Order online Order E*TRADE Complete Debit Card Report a new debit card
for your E*TRADE Complete Investment Account Submit online Transfer Money -
Between E*TRADE or Morgan Stanley Private Bank Accounts Move money
electronically in real time between E*TRADE or Morgan Stanley Private Bank
accounts Enroll online Transfer Money - External Funding Account Move money
electronically to and from an outside financial institution Enroll online Stop
Payment Request a stop payment on a check you've written Submit online /
Download PDF Wire Money into Morgan Stanley Private Bank Instructions on wiring
funds directly into your bank account Download PDF Wire Money out of Morgan
Stanley Private Bank Instructions on wiring funds out of your bank account
Submit online / More Info Wire Money out of Morgan Stanley Private Bank -
International Request Instructions on wiring funds out of your bank account to
an international destination Submit online / More Info Wire Money out of E*TRADE
or Morgan Stanley Private Bank Electronically move money out of your brokerage
or bank account Download PDF Wire Money out of E*TRADE or Morgan Stanley Private
Bank Electronically move money out of your brokerage or bank account with the
help of an intermediary Download PDF

Back to Top


TRANSFERS AND DISTRIBUTIONS

 


TRANSFERS AND DISTRIBUTION FORMS / APPLICATIONS


DESCRIPTION


ACTION

Bank CD IRA Distribution Request Withdraw funds from your IRA CD account
Download PDF Beneficiary IRA Distribution Request Withdraw funds from your
Beneficiary IRA Submit online / Download PDF Cashless Exercise Form Execute an
employee stock option grant through E*TRADE, even if the company does not
participate in the Stock Plans program Download PDF Change preferences for Your
Uninvested Cash Change the sweep option for the uninvested cash in your
brokerage account Submit online Charitable Donation Transfer assets to a
charitable organization Submit online / Download PDF Check status of an account
transfer Inquire about the status of a brokerage account you are transferring to
E*TRADE View online Coverdell Education Savings Account Distribution Request
Withdraw assets from your Coverdell ESA Submit online / Download PDF Crest
Transfer Request Transfer foreign stock certificates into your E*TRADE brokerage
account Download PDF Direct In-Plan Roth Rollover Request Form Move funds from
your Individual 401(k) to your Roth Individual 401(k) Download PDF Employee
Stock Plan Outgoing Share Transfer Transfer stock plan shares from E*TRADE
Submit online / Download PDF Internal Asset Transfer Form Use this form to
request an asset transfer between your internal accounts. For retirement
accounts, this form may be used only for consolidation. Download PDF Investment
Only Withdrawal Request Withdraw assets from your Investment-Only retirement
plan Download PDF IRA Distribution Request Withdraw assets from your brokerage
IRA, including Beneficiary IRAs Submit online / Download PDF IRA
Recharacterization Request Change a brokerage Roth IRA to a Traditional IRA or
vice versa Submit online Notarized Letter of Authorization Authorize incoming
transfer of account with different registration information Download PDF
Outgoing Transfer Cancellation Request Request to cancel a previously entered
outgoing transfer request Download PDF Qualified Retirement Plan Distribution
Request Withdraw assets from your Individual 401(k), Profit Sharing, or Money
Purchase Pension Plan Download PDF / Submit online Qualified Retirement Plan
Loan Kit Request a loan from your Individual 401(k), Profit Sharing, or Money
Purchase Pension Plan Download PDF Transfer Money (Between E*TRADE or Morgan
Stanley Private Bank accounts) Move money electronically in real time between
E*TRADE or Morgan Stanley Private Bank accounts Enroll online Transfer Money
(external funding account) Move money electronically to and from an outside
financial institution Enroll online Roth IRA Conversion Request Convert an
existing brokerage IRA to a Roth IRA Submit online Transfer an Account to
E*TRADE Electronically transfer a brokerage account to E*TRADE Submit online /
Download PDF

Back to Top


TAX AND LEGAL

 


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 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 Apply 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 Estate &
Inheritor Document Upload Securely upload all required documents in a single
package for inheritance processing Submit online / Download PDF 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 to do business with your
authorized agent Download PDF Letter of Authorization and Indemnification for
Options Trading - IRA Authorize E*TRADE 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 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 Submit
Online / 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

Back to Top


ACCOUNT AGREEMENTS AND DISCLOSURES

 


BROKERAGE ACCOUNT AGREEMENTS & DISCLOSURES


DESCRIPTION


ACTION

Characteristics and Risks of Standardized Options Important information about
trading options View online Futures Additional Risk Disclosure Additional risk
disclosure for your E*TRADE Futures account Download PDF Fully Paid Lending
Program Risk Disclosure Statement Fully Paid Lending Program. Risk Disclosure
Statement View Online

Back to Top



ETRADE FOOTER



ABOUT US 

 * Company Overview
 * Investor Relations
 * Newsroom
 * Careers
 * Accessibility at E*TRADE
 * Privacy & Cookies
 * Your Privacy Choices

SERVICE 

 * Contact Us
 * FAQs
 * Forms and Applications

QUICK LINKS 

 * Open An Account
 * Fund My Account
 * Cash Management
 * Stock Plans
 * Executive Services
 * Security Center
 * Site Map

CONNECT WITH US

phone 800-387-2331

 *  
 *  
 *  
 *  
 *  

--------------------------------------------------------------------------------



CHECK THE BACKGROUND OF E*TRADE SECURITIES LLC AND MORGAN STANLEY SMITH BARNEY
LLC ON FINRA'S BROKERCHECK AND SEE
E*TRADE SECURITIES LLC AND E*TRADE CAPITAL MANAGEMENT, LLC RELATIONSHIP
SUMMARY AND
MORGAN STANLEY SMITH BARNEY LLC RELATIONSHIP SUMMARY.

Investment Products • Not FDIC Insured • No Bank Guarantee • May Lose Value

PLEASE READ THE IMPORTANT DISCLOSURES BELOW.

BANKING PRODUCTS AND SERVICES ARE PROVIDED BY MORGAN STANLEY PRIVATE BANK,
NATIONAL ASSOCIATION, MEMBER FDIC.



 1. You can use the Automatic Investment Plan to add to existing mutual fund
    positions only. If you don't already own shares in the fund you wish to buy,
    you must make an initial purchase before you can set up your Automatic
    Investment Plan.
    
    Automatic investment plans and dollar-cost averaging do not assure a profit
    or protect against loss in declining markets. Investors should consider
    their financial ability to continue their purchases through periods of low
    price levels.

 2. If used properly, this security technology, which is based on technology
    from RSA Security, Inc. will not permit unauthorized access. While we
    continually strive to provide the best available security technology, no
    guarantee can be made that new methods will not emerge to circumvent this
    technology.

Morgan Stanley and its affiliates do not provide tax advice, and you always
should consult your own tax advisor regarding your personal circumstances before
taking any action that may have tax consequences.





Securities products offered by E*TRADE Securities LLC (ETS), Member SIPC or
Morgan Stanley Smith Barney LLC (MSSB), Member SIPC. Investment advisory
services offered by E*TRADE Capital Management, LLC (ETCM) or MSSB. Commodity
futures and options on futures products and services offered by E*TRADE Futures
LLC, Member NFA. Stock plan administration solutions and services offered by
E*TRADE Financial Corporate Services, Inc. Banking products and services are
provided by Morgan Stanley Private Bank, National Association, Member FDIC. All
entities are separate but affiliated subsidiaries of Morgan Stanley.

Throughout 2023, ETS and ETCM will be transitioning existing clients to MSSB.
Learn more about this transition. 

System response and account access times may vary due to a variety of factors,
including trading volumes, market conditions, system performance, and other
factors.

Statement of Financial Condition | About Asset Protection | Account Agreements
and Disclosures | Quarterly 606 Report | Business Resiliency Plan

©2023 E*TRADE from Morgan Stanley. All rights reserved. E*TRADE Copyright Policy



--------------------------------------------------------------------------------

 * 
 * 

121w401m5-165w401m5