Investor Resource Center
Investor Forms
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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. |
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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. |
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.
Open An Account By Mail
You may also download and complete our account opening documents and deliver them to us via mail.
Frequently Asked Questions
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.
By Mail
- For non-retirement accounts, please fill out the Non-Retirement Account Request for Distribution Form.
- For IRA/Roth IRA accounts, please fill out the following form: IRA/Roth IRA Request for Distribution Form.
- For all other non-IRA retirement accounts, please fill out the following form: Retirement Plans Request for Distribution Form.
Login Online
Log into your account via our Mutual Funds Online Access.
Please complete the Bank Account Authorization Form.
Log into your account via our Mutual Funds Online Access.
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:
- Transfer of Account Registration Form.
- Application for New Individual/Joint/Custodial Account. A copy of the Joint Owner’s Death Certificate required.
There are two forms that need to be filled out in order to transfer the account into the name of the former minor. The forms are:
- Transfer of Account Registration Form. This must be signed by the custodian unless the former minor is currently 25 or older.
- Application for New Individual/Joint/Custodial Account. This must be completed by the former minor.
There are several ways you can update your address:
- By filling out the Change of Address Form.
- 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.
- Accessing your account online through the following link: Online Account Access.
- For IRA/Roth IRA accounts, please fill out IRA Designation of Beneficiary.
- For all other non-IRA retirement accounts, please fill out Retirement Plans Designation of Beneficiary.
- For non-retirement accounts, please fill out Non-retirement Designation of Beneficiary.
For accounts which already have beneficiaries listed you can update them by Accessing your account online through the following link: Online Account Access
Please complete the IRA Transfer of Assets Form.
If you don't have a IRA currently established, please complete the New IRA Account Application.
Please complete the Direct Rollover Form.
If you don't have a Traditional IRA currently established, please complete the New IRA Account Application.
Please complete the Roth IRA Conversion Form.
If you don't have a ROTH IRA currently established, please complete the New ROTH IRA Account Application.
Please fill out the IRA Systematic Withdrawal Form or Qualified Retirement Plan Systematic Withdrawal Form.
There are two forms that need to be filled out in order to transfer the account into an estate. The forms are:
- Transfer of Account Registration Form. If the account is to be liquidated immediately, please specify these instructions on Section 4 of this form.
- Application for New Trust/Estate Account. A copy of the death certificate and Letters of Testamentary/Administration are required.
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:
- Transfer of Account Registration Form.
- Application for New Trust/Estate Account.
A copy of the Trust Document is required.
Please complete the Change of Name Form.
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.
Please complete the Cost Basis Election Form.
Accessing your account online through the following link: Online Account Access.
Neuberger DeliverE®
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.
Register 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.