Probated Estates

To transfer securities registered in the name of a deceased person when the personal representatives have been confirmed by the court, we need the following documents.

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

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 probated estates to learn about preparing a declaration of transmission.

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

Proof of appointment of legal representative

The proof of appointment of legal representatives is the court document appointing the legal representatives. Please provide an original or notarial copy. Depending on where the court is located, this document has various names, including:

  • Certificate of appointment as estate trustee
  • Letters probate
  • Letters of administration
  • Letters testamentary

Last will and testament (if available)

If there is a will, please provide an original or notarial copy with your documents.

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 provide a completed securities transfer form signed by the personal representatives.

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.

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