Estate planning at Broadridge
How to protect 3 Broadridge accounts — fund a trust by mail, and file claims through Broadridge's Broadridge Corporate Issuer Solutions - Transfer / Legal Transfers
Broadridge Corporate Issuer Solutions - Shareholder Services
Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718
Broadridge Corporate Issuer Solutions - Transfer / Legal Transfers
Regular mail: Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718. Overnight: Broadridge Corporate Issuer Solutions, Attn: BCIS IWS, 51 Mercedes Way, Edgewood, NY 11717-8368.
Broadridge Corporate Issuer Solutions - Shareholder Services
Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718
Broadridge keeps the shareholder register for the companies it serves. Directly registered shares do not sit in a brokerage account, so settling them at death means dealing with Broadridge directly using its transfer requirements.
Beneficiary changes at Broadridge can be made by mail. Accounts can also be retitled into a trust to keep them out of probate entirely.
Broadridge has documented procedures for both preparing accounts during your lifetime and handling claims when an account holder passes away.
Preparing your estate
Beneficiaries and trust funding
How to fund a trust by mail, and review 3 account types at Broadridge.
View details →When someone dies
Death claim process
Contact Broadridge's Broadridge Corporate Issuer Solutions - Transfer / Legal Transfers to file a claim. 6-step process, 8 required documents, and contact information for survivors.
View details →Email inquiries can be sent to shareholder@broadridge.com.
Frequently asked questions
A Medallion Signature Guarantee (MSG) is a special stamp provided by banks, brokers, credit unions, and other financial institutions. By stamping the form, the guarantor warrants that the signature is genuine, that the signer is an appropriate person to endorse, and that the signer had legal capacity. Broadridge requires an MSG for essentially all transfer requests, including estate transfers. Many banks and brokerages provide it free to their customers. A notary or consulate stamp cannot be used in place of an MSG.
Yes, for any shares represented by physical certificates. All original stock certificates must be included with the completed Legal Transfer Form; copies are not accepted. If you cannot locate the certificates or are unsure whether the shares are certificated, contact Broadridge before submitting the transfer, because lost certificates require a separate replacement process (typically involving a surety bond).
Yes. The Legal Transfer Form has a "Creation of Trust Account" option to retitle shares into a trust's name. Broadridge requires copies of the first and last pages of the trust agreement plus any page naming successor trustees, along with a Medallion Signature Guarantee. A change of trustee on an existing trust registration additionally requires a notarized Trustee Resignation Letter.
By regular mail: Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718. By overnight courier: Broadridge Corporate Issuer Solutions, Attn: BCIS IWS, 51 Mercedes Way, Edgewood, NY 11717-8368. Because certificates and legal documents are enclosed, using registered mail or an insured courier with a return receipt is recommended. Transfers are not accepted by email or fax.
Sources
Data sourced from Broadridge primary sources (4 pages reviewed). How we research.
Broadridge Corporate Issuer Solutions - Shareholder Services
Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718
Broadridge Corporate Issuer Solutions - Transfer / Legal Transfers
Regular mail: Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718. Overnight: Broadridge Corporate Issuer Solutions, Attn: BCIS IWS, 51 Mercedes Way, Edgewood, NY 11717-8368.
Broadridge Corporate Issuer Solutions - Shareholder Services
Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718
Estate planning articles
Learn how to protect your Broadridge accounts and other assets with trusts, beneficiary designations, and estate planning documents.
