All forms and applications

New Applications | Add Account Features | Deposit and Withdrawals | Transfers and Distributions | Tax and Legal | Account Agreements and Disclosures

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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
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 (Individual) (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 banking account Apply Online
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

(Contribution Limits & Deadlines)

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
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

 

New Educational Savings Account Forms / Applications

(Contribution Limits & Deadlines)

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) Submit OnlineDownload PDF
Add/Remove Beneficial Owner Add/remove beneficial owner(s) to/from your bank account (for entity accounts only) Submit OnlineDownload 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

529 to Roth IRA Direct Rollover Deposit Submit with your 529 Plan direct rollover check payable to your Roth IRA account Download PDF
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
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 Adjustment Form Submit to adjust previously made deposits as loan repayments for an Individual 401(k), Profit Sharing, or Money Purchase account Download PDF
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

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 Heirs Use this form when a death benefit from Individual Retirement Account (“IRA”) is payable to the IRA owner’s children as a group, instead of listing heirs by name. Download PDF
Affidavit of Unauthorized Transaction To dispute unauthorized ACH debits that appear as a check on the account 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
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
Cost Basis Adjustment Form for Inherited Shares Use this form to specify cost basis step up and valuation method. Submit online / Download PDF
Customer Verification Form Utilize this form along with your Proof of Identification to verify ownership of your account Download PDF
Deposit a security that bears the name of a previous owner Deposit an unsigned stock or bond certificate 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
Document Upload Cover Sheet Securely upload your identification documents Submit online
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
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
Futures Account Discretionary Trading Authorization Instruct E*TRADE to do business with your authorized agent Download PDF
International Client Tax Advisor Certification Use this form for new US entities or trusts with any non-resident alien owner, beneficial owner or grantor having a legal address outside the US or US territories. Download PDF
International Client Tax Certification Use this form for non-resident alien clients or US entities/trusts with any non-resident alien owner, beneficial owner or grantor having a legal address outside the US or US territories Submit online
Israel Tax Certification Certify your legal residence Submit online
Italy Tax Certification Certify your legal residence Submit online
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
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
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
Non-US Entity Questionnaire Provide information on non-US foreign entity accounts 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
One-and-the-Same Letter Deposit securities under a name other than your legal name Download PDF
Pattern Day Trader Classification Removal Request Request removal of pattern day trader status as a one-time exception Submit online
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
Profit Sharing Plan Documents The terms and conditions of your profit sharing plan Download PDF
Reg E Long Form How to report an error with your Reg E remittance transfer 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
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
Worthless Securities Liquidation Request   Online Form
W-8BEN Certificate of Foreign Status Establish that you are a non-U.S. person for federal income tax purposes Submit OnlineDownload 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
W-9 Request for Taxpayer ID Provide us your taxpayer identification number Submit online / Download PDF
5304 Form (SIMPLE IRA) Establish a SIMPLE IRA plan Download PDF

Account Agreements and Disclosures

 

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