Non-Probated Estates

To transfer securities registered in the name of a deceased person whose representatives have not been confirmed by the court, we need the following documents.

Probate waiver bond

Please contact us to find out what type of bond, if any, will be acceptable to your securities issuer(s). We will require details of the securities you wish to transfer, including the name of the issuer, number of shares or principal amount of bonds and certificate numbers. The requirements vary from issuer to issuer and also depend on the value of the securities involved.

Security certificate or statement of ownership

We require a security certificate or statement of ownership for shares, warrants, units, rights, bonds, debentures, etc. that the deceased owned. Some companies issue statements of ownership instead of certificates. If this is the case in your situation, please send us the statement.

If you cannot find the certificate, please read about replacing lost certificates or contact us.

Declaration of transmission 

We require two original copies of the declaration of transmission. The declaration of transmission is an affidavit sworn before a notary public or commissioner for oaths by the deceased person's legal representatives. It provides formal evidence of the following information regarding the securities:

  • The death of the security holder
  • The existence of legal representatives
  • The ownership of the securities
  • The deceased's place of residence

Please visit the declaration of transmission for non-probated estates page to read about preparing a declaration of transmission.

If you are dealing with more than one class of securities or with securities in more than one issuer, we will need a separate declaration of transmission for each class or issuer.

Last will and testament (if available) 

Please provide two original or notarial copies of the deceased person's will.

Death certificate 

Please provide two original or notarial copies of the death certificate.

Once we have these documents in satisfactory form, we will issue a new certificate or security ownership statement in the name of the legal representatives.

If you want to have the securities transferred to someone else, you will need to give us the name(s) and an address for them. You will also need to provide a securities transfer form.

Securities transfer form (if applicable)

To transfer the securities to someone other than the legal representatives, please learn about completing a securities transfer form. In particular, please follow the instructions with respect to signature guarantees - we cannot complete the transfer without signature guarantees.

This link will leave the CST site.
Do you wish to continue?