Brokerage forms library

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Brokerage forms library

  • The most commonly searched for brokerage forms.
    • New self-directed account applicationOpen an Individual or Joint self-directed account online. Get started
    • Securities transfer formTransfer your brokerage accounts from another financial institution. Self-Direct Brokerage Transfer
    • Managed account transfer formTransfer your accounts from another financial institution into your TIAA Portfolio Advisor or TIAA Personal Portfolio account. Managed Brokerage Transfer
    • Electronic transfer (ACH)Add external banks for money transfers. Request online deposits, withdrawals, and IRA contributions. Add Bank
    • IRA distributionRequest a distribution from your IRA or take a Required Minimum Distribution payment. Download Form
    • Margin applicationUse this form to add margin to your account. Download Form
    • Power of attorneyUse this form to add a full or limited trading authority to your account. Download Form
    • ACH terms and conditionsRead the Automated Clearing House (ACH) terms and conditions. Learn more
    • Durable power of attorneyUse this form to add a DPOA to an account.  The DPOA remains in effect should you become incapacitated and unable to make decisions for yourself. Download Form

  • TIAA Personal Portfolio Account Agreements and Disclosures
    • Form CRSForm CRS is the customer relationship summary that contains information regarding our services, and the fees you may pay. Learn more
    • TIAA Personal Portfolio Advisor wrap fee disclosure brochure (Form ADV)
      Read about the qualifications and business practices relating to the TIAA Personal Portfolio Wrap Fee Program.
       Learn More
    • TIAA Personal Portfolio advisory agreementRead the agreement that sets forth the terms and conditions governing participation in the TIAA Personal Portfolio program. Learn more
    • TIAA Brokerage Customer Account AgreementRead the TIAA Brokerage Customer Account Agreement (CAA) for self-direct and managed accounts. Learn more
    • Traditional IRA & SEP trust agreementView the TIAA trust agreement and Traditional IRA and SEP disclosure statement. Learn more
    • Roth IRA trust agreementView the TIAA Brokerage Roth IRA trust agreement and disclosure statement. Learn more
    • ACH terms & conditionsRead the Automated Clearing House (ACH) terms and conditions. Learn more
    • LIDS terms and conditions (Managed)Read the Liquid Insured Deposits terms and conditions for Managed accounts. Learn more
    • TIAA  Bank sweep terms and conditionsRead the Bank cash sweep terms and conditions. Learn more
    • Managed account transfer formTransfer your accounts from another financial institution into your TIAA Portfolio Advisor or TIAA Personal Portfolio account. Managed Brokerage Transfer
    • Trade confirmation suppression form
      Consolidate trades into a quarterly confirmation statement for your TIAA Portfolio Advisor or TIAA Personal Portfolio account.
       Download Form
  • TIAA Portfolio Advisor Account Agreements and Disclosures
    • TIAA Portfolio Advisor wrap fee disclosure brochure (Form ADV)
      Read about the qualifications and business practices relating to the TIAA Portfolio Advisor Wrap Fee Program.
       Learn More
    • TIAA Portfolio Advisor advisory agreementRead the agreement that sets forth the terms and conditions governing participation in the TIAA Portfolio Advisor porgram. Learn more
    • ACH terms & conditionsRead the Automated Clearing House (ACH) terms and conditions. Learn more
    • Managed account transfer formTransfer your accounts from another financial institution into your TIAA Portfolio Advisor or TIAA Personal Portfolio account. Managed Brokerage Transfer
    • Trade confirmation suppression form
      Consolidate trades into a quarterly confirmation statement for your TIAA Portfolio Advisor or TIAA Personal Portfolio account.
       Download Form
    • TIAA Brokerage Customer Account AgreementRead the TIAA Brokerage Customer Account Agreement (CAA) for self-direct and managed accounts. Learn more
    • Traditional IRA & SEP trust agreementView the TIAA trust agreement and Traditional IRA and SEP disclosure statement. Learn more
    • Roth IRA trust agreementView the TIAA Brokerage Roth IRA trust agreement and disclosure statement. Learn more

  • TIAA Brokerage new account kits contain all the necessary forms, disclosures, supplemental forms, and agreements that should be reviewed prior to opening an account.  When opening the kit, you will notice TIAA Form CRS is the first to appear.  Form CRS is our customer relationship summary that is provided to inform you of the services we provide and the fees you may pay.  Following the Form CRS is the new account application form.  It is only necessary to return the application and any supplemental forms such as the Trustee Certification of Investment Powers (TCIP) with a Trust, or the IRS Form 5304 with the SIMPLE IRA.  All other agreements and disclosures are for you to keep.
    • Individual or Joint account Open a self-directed Individual or Joint account online. Get Started
    • Trust account applicationOpen a self-directed Trust account. Please include the Trustee Certification of Investment Powers (TCIP) form along with the application.  The TCIP is included in the kit for your convenience. Download Form
    • Trustee certification of investment powers (TCIP) formThe TCIP must be completed and signed by all Trustees.  A new TCIP must be provided anytime there is a change to the Trust.   Download Form
    • Custodial account applicationOpen a self-directed UTMA/UGMA custodial account for minors. Download Form
    • Estate account applicationOpen a self-directed Estate account for the purpose of settling Brokerage accounts at TIAA. Get Started
    • Traditional IRA account applicationOpen a TIAA Traditional IRA with the option of having a self-directed brokerage window as part of the IRA. Get Started
    • TIAA Roth IRA applicationOpen a TIAA Roth IRA with the option of having a self-directed brokerage window as part of the IRA. Get Started
    • TIAA SEP IRA applicationOpen a TIAA SEP IRA with the option of having a self-directed brokerage window as part of the IRA. Get Started
    • TIAA SIMPLE IRA account applicationOpen a SIMPLE IRA self-directed brokerage account. You must also complete and submit IRS form 5304 with the completed application. Download Form
    • IRS 5304 FormOpen a TIAA SIMPLE IRA self-directed brokerage account. You must also complete and submit IRS form 5304 with the completed application. Download Form
    • Inherited Roth IRAIf you inherited an IRA or retirement account from someone at TIAA or another firm, you must open an Inherited IRA before transferring funds from the decedent's account.  You may also transfer an Inherited IRA from another firm to TIAA. Download form
    • Inherited Traditional IRAIf you inherited an IRA or retirement account from someone at TIAA or another firm, you must open an Inherited IRA before transferring funds from the decedent's account.  You may also transfer an Inherited IRA from another firm to TIAA. Download form

    • TIAA Bank accountsSimplify transfers by linking a TIAA Bank account to your brokerage account. Get Started
    • IRA beneficiary formAdd or change beneficiaries for your brokerage self-directed IRA accounts. Get Started
    • Transfer on death - Individual accountName beneficiaries on your Individual accounts. Download Form
    • Transfer on death - Joint accountName beneficiaries on your Joint Tenants with Rights of Survivorship and Joint Tenants by the Entirety accounts. Download Form
    • Margin applicationUse this form to add margin to your account. Download Form
    • Options applicationUse this form to add options to your account.  Download Form
    • Automated investment plan for mutual fundsEstablish recurring mutual fund purchases or redemptions within your account online or download the form. Download Form
    • Power of attorneyAdd a limited or full trading authority on your brokerage account. Download Form
    • Durable power of attorneyUse this form to add a DPOA to an account.  The DPOA remains in effect should you become incapacitated and unable to make decisions for yourself. Download Form
    • Cost basis on uncovered securitiesAdd or change the cost basis on securities purchased prior to the 2011-2013 mandatory cost basis reporting rule. Download Form
    • Certify legal nameComplete this form to notify us of any other alias or nicknames you legally go by. Download Form
    • Cost basis for fixed incomeComplete this form to change your accrual methods on fixed income products. Download Form
    • Mutual fund average cost authorizationChanges your mutual fund tax lot method to average cost. Download Form
    • Removal of worthless securityRequests the removal of a non-transferable and/or worthless security from the account. Download Form
    • Cash Solutions AccountAdd check writing and debit card access directly to your brokerage account. Fees may apply, review the TIAA Brokerage Customer Account Agreement for information. Download Form
    • Select link applicationCombine account statements for customers with multiple accounts into a single envelope. May include all those in the household. Download Form
    • Trade confirmation suppression formConsolidate trades into a quarterly confirmation statement for your TIAA Portfolio Advisor or TIAA Personal Portfolio account. Download Form
    • IRA checkingAdd check writing to a Traditional IRA account for purposes of distributions. Must be 59 ½ or older to enroll. Download Form
    • Roth conversionUse this form to convert your Traditional IRA into a Roth IRA. Download Form

    • Securities transfer formTransfer your brokerage accounts from another financial institution. Self-Direct Brokerage Transfer
    • Managed account transfer formTransfer your accounts from another financial institution into your TIAA Portfolio Advisor or TIAA Personal Portfolio account. Managed Brokerage Transfer
    • Electronic transfer (ACH)Add external banks for money transfers. Request online deposits, withdrawals, and IRA contributions. Add Bank
    • IRA distribution formUse this form to request a distribution from your IRA or take a Required Minimum Distribution payment. Download Form
    • Check depositRead instructions on how to send in a deposit or IRA contribution by check. Download Form
    • Direct depositPrint these instructions to direct an employer, social security, or IRS refunds to be deposited into your brokerage account. Download Form
    • Fed fund wire disbursementComplete this form to request a disbursement from your brokerage account by wire. Fees apply, review the TIAA Brokerage Customer Account Agreement for information. Download Form
    • Stock bond powerComplete this form and follow the instructions to deposit physical stock certificates into your brokerage account. Download Form
    • Contribution form for TIAA SIMPLE IRAUse this form to contribute to a TIAA SIMPLE IRA. Download Form
    • ACH terms and conditionsRead the Automated Clearing House (ACH) terms and conditions. Learn More
    • Authorization to gift securitiesFor use with taxable non- IRA accounts only.  Authorizes the gifting of securities to another person, entity, or charity. Download form

    • Form CRSForm CRS is the customer relationship summary that contains information regarding our services, and the fees you may pay. Learn more
    • TIAA Brokerage Customer Account AgreementRead the TIAA Brokerage Customer Account Agreement (CAA) for self-direct and managed accounts. Learn more
    • TIAA IRA Customer Account AgreementRead the Customer Account Agreement (CAA) for use with the TIAA IRA self-direct brokerage window. Learn more
    • TIAA Investment Solutions IRA Customer Account AgreementRead the Customer Account Agreement (CAA) for use with the TIAA Investment Solutions IRA self-direct brokerage window. Learn more
    • TIAA Self-Directed Account Customer Account AgreementRead the Customer Account Agreement (CAA) for use with the Self-Directed Account for employer sponsored retirement plans. Learn more
    • Traditional IRA & SEP trust agreementView the TIAA trust agreement and Traditional IRA and SEP disclosure statement. Learn more
    • Roth IRA trust agreementView the TIAA Brokerage Roth IRA trust agreement and disclosure statement. Learn more
    • SIMPLE IRA custodial agreementView the TIAA Brokerage SIMPLE IRA custodial agreement and disclosure statement.  Learn more
    • Business continuityRead our business continuity plan that covers everything we do at TIAA. Learn more
    • TIAA privacy noticesRead our privacy notices that outline our commitment to protecting your privacy. Learn more
    • Trusted contactsHelp protect your TIAA accounts by naming trusted contacts. Learn more
    • Cash Solutions Account terms and conditionsRead the Cash Solutions Account terms and conditions concerning the optional check writing feature. Learn more
    • Electronic delivery terms and conditionsRead the Electronic delivery terms and conditions concerning account communications; such as statements, trade confirmations or other information related to your account. Learn more
    • SIPC guideLearn what is covered under SIPC protection and how excess of SIPC protection is offered. Learn more
    • ACH terms & conditionsRead the Automated Clearing House (ACH) terms and conditions. Learn more
    • Interest and cash sweep disclosureRead the TIAA Brokerage interest and cash sweep disclosure. Learn more
    • TIAA  Bank sweep terms and conditionsRead the Bank cash sweep terms and conditions. Learn more
    • LIDS terms and conditions (Managed)Read the Liquid Insured Deposits terms and conditions for managed accounts. Learn more
    • LIDS terms and conditions (Self-directed)Read the Liquid Insured Deposits terms and conditions for Self-directed accounts. Learn more
    • LIDS programs banksList of banks that participate in the FDIC sweep program. Learn more
    • Risks of options disclosureRead the Characteristics and Risks of Options disclosure document. Learn more
    • Risk of options 2018 supplementDownload the October 2018 characteristics and risks of standardized options supplement. Learn more
    • Risk of options 2012 supplementDownload the November 2012 characteristics and risks of standardized options supplement. Learn more
    • Exchange traded products risk disclosureRead the exchanged traded products risk disclosure. Learn more
    • TIAA Brokerage Real-Time Quote AgreementsRead the TIAA Brokerage Real-Time Quote Agreements (RTQA) that cover the use of real-time data within your account. Learn More
    • Dreyfus Gov Cash Mgt Invest prospectusView the Dreyfus Government Cash Management Fund Investor Class Prospectus (DGVXX). Learn more
    • Margin Disclosure StatementRead the Margin Disclosure Statement for basic facts about purchasing securities on margin. Learn More
    • Stop price disclosureRead the Stop price disclosure for purposes of education and notification. Learn more
    • Order routing disclosureRead the Order routing disclosure concerning the routing of order flow on the Brokerage website. Learn more
    • Dreyfus Gov Sec Cash Mgt Invest prospectusView the Dreyfus Government Securities Cash Management Fund Investor Class Prospectus (DVPXX/DGSCM). Learn more
    • Federated Gov Obligations Cash II prospectusView the Federated Government Obligations Cash II prospectus (GFYXX). Learn more
    • Federated Trst for US Treas Oblig Cash II prospectusView the Federated Trust for US Treasury Obligations Cash II prospectus (TTIXX). Learn more
    • Federated Gov Obligations Trust
       prospectusView the Federated Government Obligations Fund Prospectus Trust Shares (GORXX).       Learn more
    • Federated Gov Obligations Capital
       prospectusView the Federated Government Obligations Fund Prospectus Captial Shares (GOCXX).       Learn more
    • Federated Gov Obligations Service
       prospectusView the Federated Government Obligations Fund Prospectus Service Class Shares (GOSXX).       Learn more

    • SIPC guideLearn what is covered under SIPC protection and how excess of SIPC protection is offered. Learn more
    • How to read your statementLearn how to read and understand your brokerage statement. Learn more
    • Mutual fund familiesView the list of available mutual fund families available to Brokerage customers. Learn more
    • Brokerage customer brochureLearn more about investing options to help pursue your life goals. Learn more
    • Brokerage solutionsDiscover your options for your Brokerage investment planning. Learn more
    • Invest in mutual fundsLearn how mutual funds can help you meet your investing goals. Learn more
    • Online account managementManage your account from home, your favorite restaurant or even while traveling with 24/7 access. Learn more
    • TIAA financial solutionsBuild a solid investment plan by taking advantage of a broad variety of products and services available to you. Learn more
Support

Mailing addresses

 
Upload documents

Upload your complete form(s) in our secure site for faster processing.
Upload now

 
Send us a fax

Fax documents to TIAA.
800-914-8922

 
Standard mail

TIAA
P.O. Box 1280
Charlotte, NC 28201-1280

 
Overnight mail

TIAA
8500 Andrew Carnegie Boulevard
Charlotte, NC 28262

Speak to a Brokerage Consultant

Mon-Fri 8:00 AM-7:00 PM ET
800-927-3059
TIAA Brokerage, a division of TIAA-CREF Individual & Institutional Services, LLC, Member FINRA and SIPC , distributes securities. Brokerage accounts are carried by Pershing, LLC, a subsidiary of The Bank of New York Mellon Corporation, Member FINRA, NYSE, SIPC.

Advisory services are provided by Advice & Planning Services, a division of TIAA-CREF Individual & Institutional Services, LLC, a registered investment adviser.
This material is for informational or educational purposes only and does not constitute fiduciary investment advice under ERISA, a securities recommendation under all securities laws, or an insurance product recommendation under state insurance laws or regulations. This material does not take into account any specific objectives or circumstances of any particular investor, or suggest any specific course of action. Investment decisions should be made based on the investor’s own objectives and circumstances.
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