Irrevocable Stock Power
Irrevocable Stock Power Steps to deposit a stock certificate 1 Complete the entire form. 2 Include the original stock certificate and all other required 3 Sign the form in the presence of a Notary Public or someone able to provide a Medallion Signature Guarantee. 4 Send in your forms and required documents by mail only. documents which might include a Letter of Authorization for a registry change. We only accept certificates for stocks traded on the National Securities Exchanges – i.e., NYSE, AMEX, or NASDAQ. Frequently Asked Questions Mail document to: Capital One Investing, LLC PO Box 4249 Seattle, WA 98194-0249 Customer Service: 800-747-2537 Do I need to complete a form for each stock certificate to be deposited? Yes, a separate form should be completed for each certificate. However, if you have multiple certificates for the same security and same registration, one form can be accepted. Important: Do not fill out or sign the back of the certificates. You may only transfer in securities that are eligible for trading in a Capital One Investing account and which are traded on the National Securities Exchanges – i.e., NYSE, AMEX, or NASDAQ. Please confirm your securities are eligible before sending your certificates. Depositing stock certificates is free of charge providing the name of the stock certificate matches the name on the Capital One Investing account. What if the name(s) on the stock certificate do not match the Capital One Investing account being deposited too? If the registration on the certificate and the account do not match, then you will also need to include a Letter of Authorization, which will authorize us to deposit your certificate. All certificate owners must sign this letter and the signatures much be verified by a Notary or Medallion Signature Guarantee. What is the difference between a Notary seal and a Medallion signature guarantee? A Medallion signature guarantee is a stamp provided by a financial institution to verify that a signature is valid. You can obtain a Medallion Signature Guarantee at a commercial bank, credit union, brokerage firm, savings association, or any financial institution who is an approved member. A Notary seal is provided by a Notary Public, a person who is authorized by the government to verify written documents. You can usually find such a person either at a financial institution (such as a bank or credit union) or in your local phone directory. Securities are offered by Capital One Investing, LLC, a registered broker-dealer and Member FINRA/SIPC. Advisory services are provided by Capital One Advisors, LLC, an SEC registered investment advisor. Insurance products are offered through Capital One Agency LLC. All are subsidiaries of Capital One Financial Corporation. Securities and services are: Not FDIC insured • Not bank guaranteed • May lose value • Not a deposit • Not Insured by any Federal Government Agency Customer Service: 800-747-2537 Capital One Investing, LLC, PO Box 4249, Seattle, WA 98194-0249 Irrevocable Stock Power 1 of 3 Do you need a Letter of Authorization? If you are depositing a stock certificate into an account with different registration information, you MUST also complete the appropriate Letter of Authorization. You can obtain these online under the Forms & Applications section. • Individual Certificate to Joint Account • Joint Certificate to Individual Account Account Information Account Number Account Owner Secondary Account Owner (Joint/Custodial Only) Important: This form is accepted by mail only and must include the original stock certificate. Do not fill out or sign the back of the certificate. Office Use Only For value received, the undersigned hereby sell, assign and transfer to: Certificate for Deposit Number of shares Stock (Company Name) Certificate Number Authorization and Signature The undersigned hereby irrevocably constitute and appoint Capital One Investing, LLC, to transfer the said stock, as the case may be, on the books of said Company, with full power of substitution in the premises. Important: The signature(s) of this Irrevocable Stock Power form must correspond with the name(s) as written on the stock certificate without alteration, enlargement or any change whatsoever. All signatures must be signed in front of a Notary Public or person able to give a Medallion Signature Guarantee. X X Date Signature Signature guarantee or notary (required) Signature (joint/custodial only) Date Signature guarantee or notary (required) This area reserved for office use Customer Service: 800-747-2537 Capital One Investing, LLC, PO Box 4249, Seattle, WA 98194-0249 Irrevocable Stock Power 2 of 3 Do you need a Letter of Authorization? If you are depositing a stock certificate into an account with different registration information, you MUST also complete the appropriate Letter of Authorization. You can obtain these online under the Forms & Applications section. • Individual Certificate to Joint Account • Joint Certificate to Individual Account Account Information Account Owner Secondary Account Owner (Joint/Custodial Only) E 1 2 3 4 5 6 7 8 9 0 John Q. Sample Account Number Important: This form is accepted by mail only and must include the original stock certificate. Do not fill out Office Use Only PL or sign the back of the certificate. For value received, the undersigned hereby sell, assign and transfer to: Do not complete this area Certificate for Deposit 200 General Electric M Number of shares Stock (Company Name) Certificate Number A101 and A102 Authorization and Signature The undersigned hereby irrevocably constitute and appoint Capital One Investing, LLC, to transfer the said stock, as the case may be, on the books of said Company, with full power of substitution in the premises. Important: The signature(s) of this Irrevocable Stock Power form must correspond with the name(s) as written on the stock certificate without alteration, SA enlargement or any change whatsoever. All signatures must be signed in front of a Notary Public or person able to give a Medallion Signature Guarantee. X Date Signature Signature guarantee or notary (required) X Signature (joint/custodial only) Date Signature guarantee or notary (required) This area reserved for office use Customer Service: 800-747-2537 Capital One Investing, LLC, PO Box 4249, Seattle, WA 98194-0249 Irrevocable Stock Power 3 of 3
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