What to do when a Broadridge account holder dies

For an individual account where the estate is not going to be probated, Broadridge requires a copy of the death certificate, a notarized Affidavit of Domicile (U.S. shareholders only), a completed Waiver of Probate or notarized Small Estate Affidavit, and an Inheritance Tax Waiver if one is required by the decedent's state of residence, all submitted with the Legal Transfer Form and a Medallion Signature Guarantee.

For an individual account with an open, probated estate, Broadridge requires a copy of the death certificate, a notarized Affidavit of Domicile (U.S. shareholders only), a certified Certificate of Appointment with the original signature and seal dated within one year (six months for New York), and an Inheritance Tax Waiver if required by the decedent's state, along with the Legal Transfer Form and a Medallion Signature Guarantee.

If the deceased shareholder had added a TOD beneficiary to the registration, the shares pass to that beneficiary outside probate. To claim them, the beneficiary submits the Legal Transfer Form with a copy of the death certificate and a notarized Affidavit of Domicile (U.S. shareholders only), along with a Medallion Signature Guarantee.

For a deceased shareholder who is not a U.S. person (including a U.S. resident alien), additional documentation applies, which can include a federal Transfer Certificate (IRS Form 5173) in addition to the Legal Transfer Form and Medallion Signature Guarantee. The shareholder portal at shareholder.broadridge.com lists the specific requirements for foreign decedents.