Required for certain institutions to obtain, verify and record information about beneficial owners. This form must be completed by the person opening the new account on behalf of a legal entity.
Use this form to open an individual, custodial or joint tenant non-retirement mutual fund account.
Use this form to open an account for a trust, estate, corporation, partnership or qualified retirement plan (not for your personal IRA).
Use this form to add a trusted person that we can contact in the event that we cannot reach you regarding your account.
Use this form to update the address on your account(s).
Use this form to add TOD (Transfer on Death) beneficiaries to your non-retirement account. (Not available on Custodial accounts).
Use this form to establish Automatic Clearing House (ACH) status for your account. ACH allows you to electronically link your bank and mutual fund accounts. This form must be completed if you intend to request a purchase of shares via the Internet.
Use this form to establish checkwriting privileges on your money market fund(s) (Not available on Retirement accounts).
Use this form to update the cost basis election on your taxable account(s).
Use this form to update the name on your account(s).
Use this form to request a distribution from your non prototype retirement plan.
Use this form to request a distribution from your non-retirement account.
Use this form to re-register/transfer some or all of your shares into another account (existing or new). This form cannot be used for Retirement accounts.
Use this form to establish automatic investments on your account, including purchases and redemptions. This form may also be used to establish dollar cost averaging (DCA).
Use this application to open or add a new participant to a non-prototype qualified retirement plan.
W-9
This form is used to request a taxpayer identification number and certification. Clicking on the W-9 link above will bring you to the IRS web site.
W-8BEN
This form certifies the foreign status of beneficial owner for U.S. tax withholding. Clicking on the W-8 link above will bring you to the IRS web site.
Use this form to open a ROTH IRA account. Before opening a ROTH IRA account, please download and read the ROTH IRA Disclosure Statement and Custodial Agreement. Please Note: We strongly advise you to consult your tax advisor before you choose to make a ROTH IRA investment.
Use this form to transfer an IRA from another institution to Neuberger.
Use this form to convert an IRA to a ROTH IRA. This form must be accompanied by a ROTH IRA Application, unless you currently have a ROTH IRA established with Neuberger.
Use this form to request a transfer of assets from an existing Qualified Retirement Plan or 403(b) Custodial Account.
Use this form to establish a Neuberger Prototype Qualified Retirement Plan Account. This form is used for Money Purchase, Profit Sharing and 401(k) Plans.
Use this form to establish a SIMPLE IRA account. Employers who are establishing SIMPLE Plans must complete a SIMPLE Plan Adoption Agreement in addition to executing this application. Before opening a SIMPLE IRA account, please download and read the SIMPLE IRA Disclosure Statement and Custodial Agreement.
This form should be used to designate or change the beneficiary of your IRA, ROTH IRA, SEP-IRA or SIMPLE Retirement Plan. For residents of Community Property states, you must designate your spouse as the sole primary beneficiary. If anyone else is designated and you are married at the time of your death, your surviving spouse MUST consent to your designation prior to payment.
This form should be used to designate or change the beneficiary of your Keogh, HR-10, Profit Sharing or Money Purchase Pension Plan. If you are married, federal law REQUIRES that you designate your spouse as the sole primary beneficiary. If you designate anyone other than your spouse, your spouse must give notarized consent to your designation. A space for this consent is provided on the back of the Form.
Use this Form to request a distribution from your IRA or Roth IRA.
Use this form to request distributions from your Profit Sharing, Money Purchase, 403(b) or 401(k) plans. Be sure to obtain the Employer signature at the bottom of the form to authorize this withdrawal. Please readSpecial Tax Notice Regarding Plan Payments.
Use this form to receive regular payments from your IRA.
Use this form to receive regular payments from your qualified retirement plan.
If you are or were a participant in an employer sponsored qualified retirement plan such as a profit sharing, pension or 401(k) plan, you may be eligible to roll over your plan assets to an IRA.
Documents Listing and Download
Document Name
Description
Download
Before opening a new or transferring an existing Coverdell account, please download and read this document.
Before opening a new or transferring an existing Coverdell account, please download and read this document.
Use this form to open a new Coverdell Education Savings Account.
Use this form to transfer an existing Coverdell Education Savings Account. You must also fill out a Coverdell Education Savings Account Application. Please sign and return both forms to the address provided.
This form should be filled out for anyone who qualifies as a Special Needs Student. Please see the Coverdell Education Savings Account Instructions for more details.
How to Invest
Thank you for choosing Neuberger for your investment needs. When investing with us, please note the below.
For Individual Investors
Neuberger believes in the value of advice and so our family of funds can be purchased through an investment advisor. The Neuberger Genesis Fund, however, may be purchased directly with us. If you have any questions, please do not hesitate to contact a Mutual Fund Shareholder Service Representatives at 800.877.9700.
For Neuberger Genesis Fund, please use the following new account instructions:
Open An Account Online
Our online account opening process is fast, simple and secure.
To get started, you'll need:
Valid street mailing address
Names, social security number(s) and birthdates of account owners and beneficiaries
Checking or savings account and routing numbers
During the account set-up process, you may choose your investments and automate monthly contributions. Your account will be funded within two days via ACH transfer from your checking or savings account.
This page outlines steps required to make routine changes to your account, such as requesting distributions, updating addresses, or changing beneficiaries. Changes can be made by returning the necessary documentation to our office, or by logging in to your account through following link: Online Account Access.
Mutual Fund Shareholder Service Representatives are generally available between the hours of 9:00 a.m. and 5:00 p.m. ET, Monday through Friday, at 1.800.877.9700 or via email through fundinfo@nb.com.
By Phone
If you requested telephone privileges, please call a Mutual Fund Shareholder Service Representative between the hours to 9am-5pm ET, Monday Though Friday at 1.800-877.9700. Please have your account number and social security number available.
Although we no longer accept Retail Faxes, you can email your documents as a PDF file to NBFundsCS@sscinc.com.
There are two forms that need to be filled out by the surviving joint owner in order to transfer ownership when the other owner has passed away. The forms are:
Over the phone by calling a Mutual Fund Shareholder Service Representative between the hours of 9:00 a.m. and 5:00 p.m. ET, Monday through Friday, at 1.800.877.9700. Please make sure you have your account number and social security number available when calling.
For accounts which already have beneficiaries listed you can update them by Accessing your account online through the following link: Online Account Access
If you are a Beneficiary listed on the account, please submit the form: Inherited IRA Application Form. A death certificate is required.
We can provide the name(s) of the beneficiary (ies) and provide further instructions on how to re-register the account(s) in question.
There are two forms that need to be filled out in order to transfer ownership into a trust account. You will need to provide the following forms and documentation:
There are a couple of things you'll need to be listed as Power of Attorney for an account:
A letter of instruction detailing your request to be added as Power of Attorney. This letter of instruction should reference the account number(s) to which you should be added. Per the US PATRIOT Act, please include your Social Security Number and Date of Birth.
A copy of the Notarized Power of Attorney document that has been certified within the past 5 years.
Please call us at 1.800.877.9700 to request a transcript for your account.
Neuberger DeliverE® allows you to receive much of the printed material you currently receive from Neuberger—electronically! You'll receive your correspondence faster, in an easy-to-manage format, and have less paper cluttering up your life.
How Neuberger DeliverE® Works
Instead of mailing documents to you, we will e-mail you as soon as the information is available on our website. If we're issuing legally required compliance materials—such as a prospectus or shareholder report—an electronic link will take you directly to the document. If we're updating your account statements or providing confirmation statements, an electronic link will take you to the mutual fund home page. There, to protect your privacy, you must log into Online Account Access to obtain your information.
To participate, you must be registered for online Account Access.
Have your account and Social Security numbers handy.
If you already have online Account Access, simply log in as usual, and select "My Account Details." Click on Account Maintenance and follow the instructions from there.
Sign up soon so that you can benefit from the convenience of Neuberger DeliverE®.
For more information, please contact Neuberger at 800.877.9700 weekdays from 9 a.m. to 5 p.m. ET.