Brokerage forms library

Form CRS is the customer relationship summary that contains information regarding our services, and the fees you may pay.

Read about the qualifications and business practices relating to the TIAA Personal Portfolio Wrap Fee Program.

Read the agreement that sets forth the terms and conditions governing participation in the TIAA Personal Portfolio program.

Read the TIAA Brokerage Customer Account Agreement (CAA) for self-direct and managed accounts.

View the TIAA trust agreement and Traditional IRA and SEP disclosure statement.

View the TIAA Brokerage Roth IRA trust agreement and disclosure statement.

Read the Automated Clearing House (ACH) terms and conditions.

Read the Liquid Insured Deposits terms and conditions for Managed accounts.

Read the Bank cash sweep terms and conditions.

Transfer your accounts from another financial institution into your TIAA Portfolio Advisor or TIAA Personal Portfolio account.

Consolidate trades into a quarterly confirmation statement for your TIAA Portfolio Advisor or TIAA Personal Portfolio account.

Read about the qualifications and business practices relating to the TIAA Portfolio Advisor Wrap Fee Program.

Read the agreement that sets forth the terms and conditions governing participation in the TIAA Portfolio Advisor porgram.

Read the Automated Clearing House (ACH) terms and conditions.

Transfer your accounts from another financial institution into your TIAA Portfolio Advisor or TIAA Personal Portfolio account.

Consolidate trades into a quarterly confirmation statement for your TIAA Portfolio Advisor or TIAA Personal Portfolio account.

Read the TIAA Brokerage Customer Account Agreement (CAA) for self-direct and managed accounts.

View the TIAA trust agreement and Traditional IRA and SEP disclosure statement.

View the TIAA Brokerage Roth IRA trust agreement and disclosure statement.

Open a self-directed Individual or Joint account online.

Open 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.

The TCIP must be completed and signed by all Trustees.  A new TCIP must be provided anytime there is a change to the Trust.  

Open a self-directed UTMA/UGMA custodial account for minors.

Open a self-directed Estate account for the purpose of settling Brokerage accounts at TIAA.

Open a TIAA Traditional IRA with the option of having a self-directed brokerage window as part of the IRA.

Open a TIAA Roth IRA with the option of having a self-directed brokerage window as part of the IRA.

Open a TIAA SEP IRA with the option of having a self-directed brokerage window as part of the IRA.

Open a SIMPLE IRA self-directed brokerage account. You must also complete and submit IRS form 5304 with the completed application.

Open a TIAA SIMPLE IRA self-directed brokerage account. You must also complete and submit IRS form 5304 with the completed application.

If 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

If 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.

Simplify transfers by linking a TIAA Bank account to your brokerage account.

Add or change beneficiaries for your brokerage self-directed IRA accounts.

Name beneficiaries on your Individual accounts.

Name beneficiaries on your Joint Tenants with Rights of Survivorship and Joint Tenants by the Entirety accounts.Download Form

Use this form to add margin to your account.

Use this form to add options to your account. Download Form

Establish recurring mutual fund purchases or redemptions within your account online or download the form.

Add a limited or full trading authority on your brokerage account.Download Form

Use 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

Add or change the cost basis on securities purchased prior to the 2011-2013 mandatory cost basis reporting rule.Download Form

Complete this form to notify us of any other alias or nicknames you legally go by.Download Form

Complete this form to change your accrual methods on fixed income products.Download Form

Changes your mutual fund tax lot method to average cost.Download Form

Requests the removal of a non-transferable and/or worthless security from the account.Download Form

Add 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

Combine account statements for customers with multiple accounts into a single envelope. May include all those in the household.Download Form

Consolidate trades into a quarterly confirmation statement for your TIAA Portfolio Advisor or TIAA Personal Portfolio account.Download Form

Add check writing to a Traditional IRA account for purposes of distributions. Must be 59 ½ or older to enroll.Download Form

Use this form to convert your Traditional IRA into a Roth IRA.Download Form

Transfer your brokerage accounts from another financial institution.Self-Direct Brokerage Transfer

Transfer your accounts from another financial institution into your TIAA Portfolio Advisor or TIAA Personal Portfolio account.

Add external banks for money transfers. Request online deposits, withdrawals, and IRA contributions.Add Bank

Use this form to request a distribution from your IRA or take a Required Minimum Distribution payment.Download Form

Read instructions on how to send in a deposit or IRA contribution by check.Download Form

Print these instructions to direct an employer, social security, or IRS refunds to be deposited into your brokerage account.

Complete this form to request a disbursement from your brokerage account by wire. Fees apply, review the TIAA Brokerage Customer Account Agreement for information.

Complete this form and follow the instructions to deposit physical stock certificates into your brokerage account.

Use this form to contribute to a TIAA SIMPLE IRA.

Read the Automated Clearing House (ACH) terms and conditions.

For use with taxable non- IRA accounts only.  Authorizes the gifting of securities to another person, entity, or charity.

Form CRS is the customer relationship summary that contains information regarding our services, and the fees you may pay.Learn More

Read the TIAA Brokerage Customer Account Agreement (CAA) for self-direct and managed accounts.

Read the Customer Account Agreement (CAA) for use with the TIAA IRA self-direct brokerage window.

Read the Customer Account Agreement (CAA) for use with the TIAA Investment Solutions IRA self-direct brokerage window.

Read the Customer Account Agreement (CAA) for use with the Self-Directed Account for employer sponsored retirement plans.

View the TIAA trust agreement and Traditional IRA and SEP disclosure statement.

View the TIAA Brokerage Roth IRA trust agreement and disclosure statement.

View the TIAA Brokerage SIMPLE IRA custodial agreement and disclosure statement. 

Read our business continuity plan that covers everything we do at TIAA.

Read our privacy notices that outline our commitment to protecting your privacy.

Help protect your TIAA accounts by naming trusted contacts.

Read the Cash Solutions Account terms and conditions concerning the optional check writing feature.

Read the Electronic delivery terms and conditions concerning account communications; such as statements, trade confirmations or other information related to your account.

Learn what is covered under SIPC protection and how excess of SIPC protection is offered.

Read the Automated Clearing House (ACH) terms and conditions.

Read the TIAA Brokerage interest and cash sweep disclosure.

Read the Bank cash sweep terms and conditions.Learn More

Read the Liquid Insured Deposits terms and conditions for managed accounts.

Read the Liquid Insured Deposits terms and conditions for Self-directed accounts.

List of banks that participate in the FDIC sweep program.

Read the Characteristics and Risks of Options disclosure document.

Read the exchanged traded products risk disclosure.

Read the TIAA Brokerage Real-Time Quote Agreements (RTQA) that cover the use of real-time data within your account.

View the Dreyfus Government Cash Management Fund Investor Class Prospectus (DGVXX).

Read the Margin Disclosure Statement for basic facts about purchasing securities on margin.

Read the Stop price disclosure for purposes of education and notification.

Read the Order routing disclosure concerning the routing of order flow on the Brokerage website.

View the Dreyfus Government Securities Cash Management Fund Investor Class Prospectus (DVPXX/DGSCM).

View the Federated Government Obligations Cash II prospectus (GFYXX).

View the Federated Trust for US Treasury Obligations Cash II prospectus (TTIXX).

View the Federated Government Obligations Fund Prospectus Trust Shares (GORXX).

View the Federated Government Obligations Fund Prospectus Captial Shares (GOCXX).

View the Federated Government Obligations Fund Prospectus Service Class Shares (GOSXX).

Learn what is covered under SIPC protection and how excess of SIPC protection is offered.

Learn how to read and understand your brokerage statement.

View the list of available mutual fund families available to Brokerage customers.

Learn more about investing options to help pursue your life goals.

Discover your options for your Brokerage investment planning.

Learn how mutual funds can help you meet your investing goals.

Manage your account from home, your favorite restaurant or even while traveling with 24/7 access.

Build a solid investment plan by taking advantage of a broad variety of products and services available to you.