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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |