What to do when a Nuveen account holder dies
Report the death to Nuveen Investor Services at 1-800-257-8787
When an account holder at Nuveen passes away, the next step depends on how the investment accounts 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 Nuveen Investor Services (1-800-257-8787) to access and distribute the funds.
To start, call Nuveen at 1-800-257-8787. Have the account holder's full name, account numbers, and the death certificate ready before you call.
Death claim process
The death claim process at Nuveen works as follows:
Filing a claim
- Nuveen Funds, for mutual fund accounts held directly with the funds
- Computershare, for directly registered closed-end fund shares
- The brokerage or advisory firm, for ETFs, SMAs, and fund shares held with that firm
- TIAA, for accounts in a TIAA-administered employer plan
- Select "Death (Inheritance)" as the reason for transfer and enter the date of death, which the form marks as required
- List any beneficiaries known to have died before the shareholder, with their dates of death
- Choose a transfer to a new or existing account, a redemption, or Option 4 (transfer and redeem to a named party)
- For a new account, include a completed Nuveen Funds Account Application (F11154)
- Under Option 4, enclose a completed Form W-9 and an inheritance tax waiver if the deceased shareholder's state of residence requires one
- Under Option 4, an estate representative also encloses proof of court appointment; an agent encloses a copy of a power of attorney dated or certified within the past 5 years
- Sign with title or capacity; for a transfer due to death, the signer certifies that all taxes, funeral expenses, debts and claims against the estate have been or will be paid by the recipients
- The prospectus requires one for a change in ownership
- F11416 requires one for redemption proceeds mailed to an address other than the address of record, or after an address change within the last 30 days
- F11416 also requires one for proceeds deposited to a bank account not on file, or paid to a charity
- The form records the previous owner's date of death and the beneficiary type
- On the form, an estate, charity, or trust that is not a see-through trust is a "First Generation Non-Designated Beneficiary"
- An entity beneficiary also completes the Legal Entity Beneficial Ownership Certification Form (F40214)
- The form carries a medallion signature guarantee section
Required Documents
- Nuveen Funds Redemption and Transfer Form for Non-IRA Accounts (F11416), for a directly held non-IRA Nuveen mutual fund accountEnter the date of death, which the form marks as required.
- Nuveen Funds Account Application (F11154), when the shares move to a new account
- Form W-9, for a transfer and redemption to a named party (Option 4)
- Inheritance tax waiver, under Option 4 on F11416, or for Computershare TOD shares, if the deceased shareholder's state of residence requires one
- Proof of court appointment, for an estate representative
- Copy of a power of attorney, for an agent under Option 4 on F11416Dated or certified within the past 5 years.
- Medallion signature guarantee, for a change in ownership; on F11416, also for proceeds sent to an address or bank account not on file, or to a charityA notary public is not an acceptable guarantor.
- IRA Beneficiary Inheritance Request Form (F41263), for a Nuveen Funds IRA
- Legal Entity Beneficial Ownership Certification Form (F40214), for an estate, trust, or other entity beneficiary of an IRA
- Death certificate, for a UTMA/UGMA, custodial IRA, or Coverdell account whose custodian has diedA certified copy, with the Registration Change Form for Custodial Accounts (F40166).
- Death certificate, for directly registered closed-end fund shares with a TOD registrationAn original or a certified copy, under Computershare's TOD Rules.
Forms Nuveen issues4
- Nuveen Funds Redemption and Transfer Form for Non-IRA Accounts (F11416)
Available to download.1
- Nuveen Funds Account Application (F11154)
Available to download.2
- IRA Beneficiary Inheritance Request Form (F41263)
Completed by the IRA beneficiary. Available to download.3
- Registration Change Form for Custodial Accounts (F40166)
Available to download. Must be notarized.4
What happens to each kind of account1
- Directly registered shares
For directly registered closed-end fund shares with a TOD registration, Computershare's TOD Rules call for an endorsement by the surviving beneficiary, with acceptable signature verification.5
If no TOD beneficiary survives, the shares belong to the estate and transfer on the endorsement of the executor or administrator with a medallion signature guarantee.5
Accounts handled elsewhere3
- SS&C Global Investor & Distribution Solutions, Inc.
Transfer, shareholder services and dividend paying agent for the Nuveen mutual funds6, 7
Mailing address: P.O. Box 219140, Kansas City, Missouri 64121-9140
- Computershare
Directly registered Nuveen closed-end fund shares8
Mailing address: Nuveen Funds c/o Computershare, PO Box 43006, Providence, RI 02940-3006 (overnight: Nuveen Fund c/o Computershare, Royall Street, Suite 101, Canton, MA 02021)
- UMB Bank, n.a.
Custodian of Nuveen Funds IRAs3
What Nuveen's agreement and guidance say3
- How proceeds are paid
F11416 states that a transaction is valued as of the market close on the business day it is put in good order, including the steps to verify identity. It may be canceled if Nuveen Funds cannot reach the requester to verify it within five days.1
- Fees
The prospectuses state that the contingent deferred sales charge on Class C shares, and on Class A shares bought at net asset value in amounts of $1,000,000 or more, may be waived or reduced in the event of death of the shareholder.6, 7
- Indemnity a claimant may have to give
The signature clause on F11416 includes an indemnity to SS&C GIDS, Inc.1
Not in Nuveen's published guidance1
- Death certificate requirement on F11416 and F41263
Sources8
- 1.Nuveen Funds Redemption and Transfer Form for Non-IRA Accounts (F11416), 08/26
- 2.Nuveen Funds Account Application (F11154), 08/26
- 3.IRA Beneficiary Inheritance Request Form (F41263), 07/25
- 4.Nuveen Funds Registration Change Form for Custodial Accounts (F40166), 10/24
- 5.Computershare Transfer on Death Registration form and TOD Rules, REV. 4/20
- 6.Nuveen Investment Trust prospectus, October 31, 2025
- 7.Nuveen U.S. Equity Funds prospectus
- 8.Client access
Nuveen Investor Services can be reached by phone at 1-800-257-8787 for questions throughout the claims process.
Sources
Data sourced from Nuveen primary sources (17 pages reviewed). How we research.
Nuveen death claims support
Nuveen Investor Services (press 1 for mutual funds, press 2 for closed-end funds)
Phone
Mailing address
Website
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