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ALL FORMS AND APPLICATIONS

Most popular forms and applications | Other forms and applications

If you're already an E*TRADE or Morgan Stanley Private Bank customer, you can
securely upload your completed documents (log on required).




MOST POPULAR

 


FORMS / APPLICATIONS


DESCRIPTION


ACTION

Bank Account Application Open a checking account Apply online / Download PDF
E*TRADE Complete Investment Account Application (Brokerage Account) Open a
brokerage account with investing and cash management Apply online / Download PDF
Duplicate Tax Records View duplicate 1099s and other tax forms View online IRA
Application (Traditional, Roth, or Rollover) Open a tax-advantaged brokerage
retirement account for individuals Apply online / Download PDF Margin Upgrade
Add margin trading to an existing brokerage account Enroll online / Download PDF
Brokerage Account Options Upgrade Add options trading to an existing brokerage
account Enroll online / Download PDF IRA Options Upgrade Add options trading to
an existing IRA Enroll online / Download PDF Fax Cover Sheet Send all
applications or account-related documentation along with a completed cover sheet
Download PDF

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NEW APPLICATIONS

 


NEW BROKERAGE ACCOUNT FORMS / APPLICATIONS


DESCRIPTION


ACTION

Business Account Open a brokerage account for a 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 / 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 Apply online / Apply 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 Apply 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 Apply 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

(Contribution Limits & Deadlines)


DESCRIPTION


ACTION

Beneficiary IRA Open a tax-advantaged retirement account to receive inherited
IRA assets Apply online / Download PDF Individual 401(k) Application Materials
Open a tax-deferred retirement plan if you are self-employed with no employees
Apply 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 Apply 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
Profit Sharing Plan Application Materials Open a tax-deferred,
employer-sponsored retirement plan Download PDF Profit Sharing Plan Documents
The terms and conditions of your profit sharing plan Download PDF

 


NEW EDUCATIONAL SAVINGS ACCOUNT FORMS / APPLICATIONS

(Contribution Limits & Deadlines)


DESCRIPTION


ACTION

Coverdell Education Savings Account Open a tax-advantaged account for college
savings Apply Online / Download PDF Custodial Account Open a brokerage account
for the benefit of a minor Apply Online / Download PDF

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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 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 Securities 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 Submit 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 Apply online

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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 Submit 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 Submit 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 Submit 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
Securities 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
Securities or Morgan Stanley Private Bank Electronically move money out of your
brokerage or bank account Download PDF Wire Money out of E*TRADE Securities or
Morgan Stanley Private Bank Electronically move money out of your brokerage or
bank account with the help of an intermediary Download PDF

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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
Securities 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 Securities Electronically transfer a brokerage account to E*TRADE Submit
online / Download PDF

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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 Securities 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 Submit 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 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 Securities to do
business with your authorized agent Download PDF Letter of Authorization and
Indemnification for Options Trading - IRA Authorize E*TRADE Securities 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 Securities 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 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

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ACCOUNT AGREEMENTS AND DISCLOSURES

 


RELATIONSHIP SUMMARY


DESCRIPTION


ACTION

Form CRS Important information about E*TRADE's brokerage and investment advisory
services Download PDF


BROKERAGE ACCOUNT AGREEMENTS & DISCLOSURES


DESCRIPTION


ACTION

Characteristics and Risks of Standardized Options Important information about
trading options View online Customer Agreement (updated effective 09/01/2022)
The terms and conditions of your E*TRADE Securities brokerage account View
online Order Routing Practices How E*TRADE Securities routes stock and options
orders Download PDF Futures Additional Risk Disclosure Additional risk
disclosure for your E*TRADE Futures account Download PDF Instant Verification
Terms and Conditions The terms and conditions regarding verification of
ownership of external accounts View online Master Securities Lending Agreement
Fully Paid Lending Program: Master Securities Lending Agreement Download PDF
Fully Paid Lending Program Risk Disclosure Statement Fully Paid Lending Program:
Risk Disclosure Statement Download PDF Transfer Money Terms and Conditions The
terms and conditions of utilizing the Transfer Money feature View online

 


BANK ACCOUNT AGREEMENTS AND DISCLOSURES


DESCRIPTION


ACTION

Morgan Stanley Private Bank Deposit Account Agreement The terms and conditions
governing your Morgan Stanley Private Bank account(s) View online Morgan Stanley
Private Bank Rate and Fee Schedule Information describing how we calculate
rates, and any fees applicable to your Morgan Stanley Private Bank account(s)
View online Extended Sweep Deposit Account Agreement (ESDA) The terms and
conditions governing your Extended Sweep Deposit Account View online Sweep
Deposit Account Rate and Fee Schedule Information describing how we calculate
rates, and any fees applicable to your Sweep Deposit Account View online Premium
Savings Bank Deposit Program Terms and Conditions The terms and conditions for
the Premium Savings Bank Deposit Program View online Amendment to Line of Credit
Request to add or remove pledged collateral accounts pledged to your Line of
Credit Download PDF Automatic Investing User Agreement The terms and conditions
of use of your Automatic Investing plan(s) View online Bill Pay Terms &
Conditions The terms and conditions governing Bill Pay service View online Bond
Resource Center User Agreement Agreement governing use of the Bonds section of
the website Download PDF Loan Payoff Agreement Transfer a securities-base line
of credit or other non-purpose loan to E*TRADE / Morgan Stanley Private Bank
Download PDF Retirement Sweep Deposit Account Agreement (RSDA) The terms and
conditions governing your Retirement Sweep Deposit Account View online


MOBILE


 


 

Mobile Deposit Service Agreement The terms and conditions for Mobile Check
Deposit Download PDF

 


RETIREMENT ACCOUNT AGREEMENTS & DISCLOSURES


DESCRIPTION


ACTION

IRA Plan Agreement The terms and conditions of your E*TRADE IRA account View
online Roth IRA Plan Agreement The terms and conditions of your E*TRADE Roth IRA
account View online SIMPLE IRA Agreement The terms and conditions of your
E*TRADE SIMPLE IRA account View online ERISA Section 408(b)(2) Disclosures
Describes services provided to E*TRADE’s ERISA plans View online

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MANAGED PORTFOLIOS DISCLOSURE DOCUMENTS


 


RELATIONSHIP SUMMARY


DESCRIPTION


ACTION

Form CRS Important information about E*TRADE's brokerage and investment advisory
services Download PDF

 


E*TRADE CAPITAL MANAGEMENT INVESTMENT ADVISORY SERVICES


DESCRIPTION


ACTION

Wrap Fee Programs Brochure An overview of E*TRADE Capital Management's Wrap Fee
Programs Download PDF

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ETRADE FOOTER



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 * Investor Relations
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SERVICE 

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QUICK LINKS 

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CHECK THE BACKGROUND OF E*TRADE SECURITIES LLC ON FINRA'S BROKERCHECK SEE
E*TRADE SECURITIES LLC AND E*TRADE CAPITAL MANAGEMENT, LLC RELATIONSHIP SUMMARY.

Investment Products • Not FDIC Insured • No Bank Guarantee • May Lose Value

PLEASE READ THE IMPORTANT DISCLOSURES BELOW.

BANKING PRODUCTS AND SERVICES ARE PROVIDED BY MORGAN STANLEY PRIVATE BANK,
NATIONAL ASSOCIATION, MEMBER FDIC.



 1. You can use the Automatic Investment Plan to add to existing mutual fund
    positions only. If you don't already own shares in the fund you wish to buy,
    you must make an initial purchase before you can set up your Automatic
    Investment Plan.
    
    Automatic investment plans and dollar-cost averaging do not assure a profit
    or protect against loss in declining markets. Investors should consider
    their financial ability to continue their purchases through periods of low
    price levels.

 2. If used properly, this security technology, which is based on technology
    from RSA Security, Inc. will not permit unauthorized access. While we
    continually strive to provide the best available security technology, no
    guarantee can be made that new methods will not emerge to circumvent this
    technology.

E*TRADE or Morgan Stanley and its affiliates do not provide tax advice, and you
always should consult your own tax advisor regarding your personal circumstances
before taking any action that may have tax consequences.





Securities products and services offered by E*TRADE Securities LLC, Member SIPC.
Investment advisory services offered by E*TRADE Capital Management, LLC, a
Registered Investment Adviser. Commodity futures and options on futures products
and services offered by E*TRADE Futures LLC, Member NFA. Stock plan
administration solutions and services offered by E*TRADE Financial Corporate
Services, Inc. Banking products and services are provided by Morgan Stanley
Private Bank, National Association, Member FDIC. All are separate but affiliated
subsidiaries of Morgan Stanley.

System response and account access times may vary due to a variety of factors,
including trading volumes, market conditions, system performance, and other
factors.

Statement of Financial Condition | About Asset Protection | Account Agreements
and Disclosures | Quarterly 606 Report | Business Resiliency Plan

©2022 E*TRADE from Morgan Stanley. All rights reserved. E*TRADE Copyright Policy



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