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Investor Forms

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Investor Forms

Regular Accounts Forms

Certification Regarding Beneficial Owners of Legal Entity Customers
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.

New Individual, Joint or Custodial Account
Use this form to open an individual, custodial or joint tenant non-retirement mutual fund account.

New Trust / Estate / Corporate Accounts
Use this form to open an account for a trust, estate, corporation, partnership or qualified retirement plan (not for your personal IRA).

Trusted Contact Form
Use this form to add a trusted person that we can contact in the event that we cannot reach you regarding your account.

Change of Address
Use this form to update the address on your account(s).

Designation of Beneficiary (Non-Retirement)
Use this form to add TOD (Transfer on Death) beneficiaries to your non-retirement account. (Not available on Custodial accounts).

Bank Account Authorization
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.

Checkwriting Privileges
Use this form to establish checkwriting privileges on your money market fund(s) (Not available on Retirement accounts).

Cost Basis Election
Use this form to update the cost basis election on your taxable account(s).

Change of Name
Use this form to update the name on your account(s).

Non-Prototype Retirement Plan Request For Distribution
Use this form to request a distribution from your non prototype retirement plan.

Non-Retirement Request for Distribution
Use this form to request a distribution from your non-retirement account.

Transfer of Account Registration
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.

Automatic Investment
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).

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.

Non-Prototype Qualified Retirement Plan Application
Use this application to open or add a new participant to a non-prototype qualified retirement plan.

Individual Retirement Account Forms

New IRA Account
Use this form to open a IRA account. Before opening an IRA account, please download and read the IRA Disclosure Statement and Custodial Agreement. This document also contains a Q&A about IRAs.

New ROTH IRA Account
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. This document also contains a Q&A about ROTH IRAs. Please Note: We strongly advise you to consult your tax advisor before you choose to make a ROTH IRA investment.

IRA Transfer of Assets
Use this form to transfer an IRA from another institution to Neuberger Berman.

Inherited IRA Account
Use this form to set up an inherited IRA account.

Roth IRA Conversion
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 Berman.

Retirement Plan and 403(b) Custodial Account Transfer of Assets Form
Use this form to request a transfer of assets from an existing Qualified Retirement Plan or 403(b) Custodial Account.

Qualified Retirement Plan Application
Use this form to establish a Neuberger Berman Prototype Qualified Retirement Plan Account. This form is used for Money Purchase, Profit Sharing and 401(k) Plans.

New SIMPLE Retirement Plan Account
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 document also contains a Q&A about SIMPLE IRA's.

Designation of Beneficiary - IRA
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.

Designation of Beneficiary - Qualified Plan
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.

IRA/ROTH IRA Request For Distribution
Use this Form to request a distribution from your IRA or Roth IRA. If you are 70½ or older and are taking Required Minimum Distributions from your IRA, please request our 70½ Kit

Qualified Retirement Plans Request for Distribution
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 read Special Tax Notice Regarding Plan Payments.

IRA Systematic Withdrawal
Use this form to receive regular payments from your IRA.

Qualified Retirement Plan Systematic Withdrawal
Use this form to receive regular payments from your qualified retirement plan.

IRA Rollover
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. If this is your situation, please call our Retail Services Group and ask for a Direct Rollover Kit. This kit contains all the forms you need as well as instructions and information on the tax aspects of a Direct Rollover.

Coverdell Education Savings Account Forms

Coverdell Education Savings Account Instructions
Before opening a new or transferring an existing Coverdell account, please download and read this document.

Coverdell Education Savings Account Disclosure Statement and Custodial Agreement
Before opening a new or transferring an existing Coverdell account, please download and read this document.

Coverdell Education Savings Account Application
Use this form to open a new Coverdell Education Savings Account.

Coverdell Education Savings Account Transfer Form
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.

Certification of Special Needs Student
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.