What to do when a Broadridge account holder dies
Contact Broadridge's Broadridge Corporate Issuer Solutions - Transfer / Legal Transfers — 6-step process, and 8 required documents
Broadridge Corporate Issuer Solutions - Shareholder Services
Phone1-800-353-0103
Mailing Address
Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718
WebsiteLearn more→
Broadridge Corporate Issuer Solutions - Transfer / Legal Transfers
Mailing Address
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.
WebsiteLearn more→
Broadridge Corporate Issuer Solutions - Shareholder Services
Phone1-800-353-0103
Mailing Address
Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718
WebsiteNotify online→
Verified Jul 2026
When a Broadridge account holder passes away, the next step depends on how the registered shareholdings were set up. Accounts with beneficiary designations or trust ownership transfer outside of probate. Accounts titled solely in the deceased's name require the estate's legal representative to work with Broadridge's Broadridge Corporate Issuer Solutions - Transfer / Legal Transfers to access and distribute the funds.
To start, call Broadridge. Have the account holder's full name, account numbers, and a certified death certificate ready before you call.
Death claim process
Here is the step-by-step death claim process at Broadridge:
Filing a claim
1
Notify Broadridge that the registered shareholder has died so the correct documents for the account type can be identified
2
Obtain the Legal Transfer Form and complete the current account information and transfer specifics (the transfer defaults to "Inheritance" once Broadridge has documentation of death)
3
Gather the supporting documents required for the account's estate status:
- Small estate / no probate: 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 required by the decedent's state of residence
- Probated and still-open estate: copy of the death certificate, notarized Affidavit of Domicile, a certified Certificate of Appointment (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
- Transfer on Death registration: copy of the death certificate and a notarized Affidavit of Domicile (U.S. shareholders only)
- Deceased trustee on a trust registration: copy of the death certificate plus the first and last pages of the trust agreement and any successor-trustee page
4
Sign the Legal Transfer Form in your legal capacity (for example, Executor, Administrator, Trustee, Power of Attorney) and obtain a Medallion Signature Guarantee
5
Include all original stock certificates (copies are not accepted) and mail the complete package to Broadridge using insured or trackable mail
6
Complete the substitute Form W-9 (U.S.) or Form W-8BEN/W-8BEN-E (non-U.S.) so the new account is tax-certified
Required Documents
- Completed Legal Transfer Form with Medallion Signature Guarantee
- Copy of the death certificate
- Notarized Affidavit of Domicile (U.S. shareholders only)
- Waiver of Probate or notarized Small Estate Affidavit (estate not being probated)
- Certified Certificate of Appointment dated within one year, six months for New York (probated estate)
- Inheritance Tax Waiver, if required by the decedent's state of residence
- All original stock certificates (for certificated shares)
- Substitute Form W-9, or Form W-8BEN / W-8BEN-E for non-U.S. persons
What to know at this institution
The Medallion Signature Guarantee (not a notary or consulate stamp) is required for essentially all estate transfers. Transfer documents must be mailed; Broadridge does not accept transfer requests by email or fax. If the deceased shareholder is not a U.S. person (including a U.S. resident alien), additional documentation such as a federal Transfer Certificate (IRS Form 5173) may be required; the shareholder portal lists the specifics. Transferred shares are reissued in DRS book-entry form unless certificates are requested.
Prepare your letter of instruction to Broadridge
Broadridge asks for a letter of instruction alongside its claim form. We prepare a transmittal cover letter and the enclosure checklist Broadridge requires.
Build your letter of instructionBroadridge requires several documents to process a claim, including Completed Legal Transfer Form with Medallion Signature Guarantee, Copy of the death certificate, and Notarized Affidavit of Domicile (U.S. shareholders only), and additional documentation depending on the account type. Certified copies are typically needed—photocopies are generally not accepted for death certificates or court documents.
Frequently asked questions
The estate uses Broadridge's Legal Transfer Form. Once Broadridge has documentation that the shareholder has died, the transfer defaults to "Inheritance." The person signing (for example, the executor or administrator) signs in their legal capacity, obtains a Medallion Signature Guarantee, attaches the death certificate and the documents required for the account's estate status, includes any original stock certificates, and mails the package to Broadridge. Transfers cannot be submitted by email or fax.
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.
Broadridge's Broadridge Corporate Issuer Solutions - Transfer / Legal Transfers can be reached by email at shareholder@broadridge.com for questions throughout the claims process.
Sources
Data sourced from Broadridge primary sources (4 pages reviewed). How we research.
Broadridge Corporate Issuer Solutions - Shareholder Services
Phone1-800-353-0103
Mailing Address
Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718
WebsiteLearn more→
Broadridge Corporate Issuer Solutions - Transfer / Legal Transfers
Mailing Address
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.
WebsiteLearn more→
Broadridge Corporate Issuer Solutions - Shareholder Services
Phone1-800-353-0103
Mailing Address
Broadridge Corporate Issuer Solutions, P.O. Box 1342, Brentwood, NY 11717-0718
WebsiteNotify online→
Verified Jul 2026
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