Forms & applications

Additional forms

Brokerage

Moving Your Vanguard Funds to a Vanguard Brokerage Account

For clients transferring Vanguard mutual fund accounts to either an existing upgraded brokerage account or a new brokerage account.

Your Upgraded Vanguard Brokerage Account

Information for clients who upgraded a Vanguard mutual fund account to a VBA. Also includes information about Vanguard Brokerage Services.

RMD

Add or maintain the Required Minimum Distribution service

Use this online process to maintain or establish our Required Minimum Distribution Service on your retirement account. The service includes calculating and distributing your RMD.

Automatic investment

Personal IRA and nonretirement
Add a Bank	Enable bank transfers to and from your Vanguard� accounts.
Add or Maintain Automatic Exchange Service	Automatic exchanges allow you to move money from an existing Vanguard account into another existing Vanguard account.
Add or Maintain Automatic Investment Plan	Automatic investments allow you to move money from an authorized bank on file to an existing Vanguard account in regular increments (weekly, monthly, etc.)

Add a service

Checkwriting
Add or Maintain the Checkwriting Service	Use this process to add or maintain the checkwriting service, or to special order a checkbook. Please allow 5-7 business days for processing after we receive your form.
Reorder checks	Allows you to reorder a new checkbook from your existing Vanguard account
Stop Payment on Check	Allows you to place a stop payment on an outstanding Vanguard check.
Direct deposit
Add or Maintain Direct Deposit	Direct Deposit allows you to send income from your employer, the government (including tax refunds), or other sources directly to your Vanguard account.

Bank transfers

Bank transfer
Add or maintain a bank account	Use this digital form to add a domestic bank account to your Vanguard account to easily move money by electronic bank transfer (EBT) or wire. Filling out this form should take approximately 5-10 minutes.
Update mutual fund bank agreement to allow brokerage transactions	Use this digital form to update your agreement to allow brokerage transactions between your Vanguard Brokerage Account (VBA) and a bank account on file. Updating this agreement should take approximately 2-5 minutes.
UHNW Electronic Bank Transfer	Use this process to establish or change the electronic banking information on your account. This service allows you to electronically move money to and from your bank account. Please allow 5-7 business days for processing after we receive your form.

Buy or sell

Buy more shares of an existing account

Add Money to your Retirement or Nonretirement Account

Use this process to add money to your retirement or nonretirement account by check. Please allow 1-3 business days for processing after we receive your form.

Buy Vanguard Funds

Invest online in Vanguard Mutual Funds.

Exchange Between Non-settlement Vanguard Funds

Allows you to move money between existing Non-settlement fund mutual fund accounts.

Trade non-Vanguard Mutual Funds via FundAccess

Use this online tool to buy or sell non-Vanguard Mutual Funds via FundAccess. Note: Vanguard Federal Money Market Fund will be used to pay for and receive proceeds from the transaction.

Trade Fixed Income Investments

Use this portion of the website to trade CD�s, Treasuries, Municipal Bonds, Corporate Bonds and more. After you select the account in which you would like to trade in, you will be able to see and select the desired yield, or execute a detailed search.

Trade Stocks, ETFs and Listed Securities

Use this online tool to buy or sell shares of a stock, ETF or listed security. Note: Vanguard Federal Money Market Fund will be used to pay for and receive proceeds from the transaction.

Sell shares of an existing account

(VBA) Vanguard Brokerage Account IRA Distribution

Use this process to take a distribution from your settlement fund in a VBA traditional IRA, SEP-IRA, Roth IRA, or inherited IRA. Please allow 1-3 business days for processing after we receive your form.

Distribution from a TA Vanguard IRA

Use this process to take a distribution from your TA traditional IRA, SEP-IRA, Roth IRA, or inherited IRA. Please allow 1-3 business days for processing after we receive your form.

Outgoing DRS Transfer Form

Use this process to direct register stocks from your Vanguard Brokerage Services� nonretirement account to an account with a transfer agent.

Remove Money From Your Retirement or Nonretirement Account

Use this process to remove money from your retirement or nonretirement account, or to assume a previously Inherited IRA from a spouse. Please allow 1-3 business days for processing after we receive your form.

Retail to VRPA Transfer Request Form

Use this form to transfer assets from Vanguard Retail to VRPA at Ascensus.

Selling Stock Under SEC Rule 144 Form

If you are a Vanguard Brokerage Services� client, you can use this kit to sell stock covered under SEC Rule 144.

Take a Distribution from your IRA

Use our online tool to take a distribution from your Vanguard IRA.

Take a Qualified Charitable Distribution from an IRA

Use our online tool to make a check payable to the Qualified Charity of your choice. Check will be made payable to your charity and sent to your address of record.

Withdraw Funds from a Nonretirement Account

Use our online tool to take a withdrawal from your nonretirement account.

Additional forms

Additional forms

Control Person Status Form

Use this form to remove the control person restriction from a VBA owner.

CREST Transfer Form

Use this form to complete the transfer of foreign securities and gifts.

Excess Removal Fact Sheet

Recharacterization Fact Sheet

Remove excess contributions, convert assets, or recharacterize contributions

Use this process to complete an excess contribution removal, recharacterization, Roth conversion, or to complete a corrective measure or mistake of fact for eligible accounts. Please allow 2-4 business days for processing after we receive your form.

Roth Conversion Fact Sheet

Change of ownership (life events)

Change owner due to loss of loved one
Trustee Certification Form	Use this digital form to identify trustees authorized to act on a trust account, either by adding or removing trustees, or when a trust is acting as an agent or authorized signer. Please allow ~7 business days for processing after we receive your form.

Additional forms

New account

Change of Ownership between existing Vanguard Nonretirement Accounts

Use this process to transfer nonretirement assets between existing Vanguard Brokerage accounts. Please allow 5-7 business days for processing after we receive your form.

Change of Ownership to a New Account for an Organization

Use this process to transfer nonretirement assets from an existing Vanguard account to a new Vanguard Brokerage Account for organizations. Please allow 5-7 business days for processing after we receive your form.

Change of Ownership to a New Individual Account

Use this process to transfer nonretirement assets from an existing Vanguard account to a new Vanguard Brokerage Account for individuals. Please allow 5-7 business days for processing after we receive your form.

Change of Ownership to a New Trust Brokerage Account

This digital form is used to move assets from a nonretirement VBA to a new Vanguard Trust Brokerage Account (not Cash Plus trust accounts), and takes ~20 minutes to complete. You�ll need trust documents and personal information about current trustees.

Change of Ownership Between Vanguard Nonretirement Accounts Enhanced

Use this process to transfer nonretirement assets between existing Vanguard Brokerage accounts. Please allow 5-7 business days for processing after we receive your form.

Grant access to your accounts

Business or organization
Add or remove access to a small business account	Use this process to add or remove access to the following plans: SEP-IRA, and Vanguard Retirement Investment Pooled Plan. Please allow 5-7 business days for processing after we receive your form.
Add or Remove Access to your Account	Use this process to add or maintain various levels of access or establish Power of Attorney on your account(s). Please allow 5-7 business days for processing after we receive your form.
Individual, joint, or IRA
Add or Remove Access to your Account	Use this process to add or maintain various levels of access or establish Power of Attorney on your account(s). Please allow 5-7 business days for processing after we receive your form.
Authorization to Provide Account Information to Employer	Use this process to authorize Vanguard to provide information on your accounts to your employer, its subsidiaries, and other authorized recipients. Please allow 5-7 business days for processing after we receive your form.
Protect Your Finances From Exploitation	This brochure provides clients information on how to avoid scams and financial exploitation, and how to protect their accounts from financial exploitation.
Report of Incapacity	Use this Digital form to report a client's incapacity to Vanguard. Must be printed, signed by a physician/medical professional and mailed. Please allow 5-7 business days for processing after we receive your form. This form may require additional forms.
Restrict Account Access	Allows you to restrict account access from any unrecognized device.
UHNW Grant Full Agent	Use this process to add or maintain full Agents on your account(s).
Trust accounts
Add or Remove Access to your Account	Use this process to add or maintain various levels of access or establish Power of Attorney on your account(s). Please allow 5-7 business days for processing after we receive your form.
Trustee Certification Form	Use this digital form to identify trustees authorized to act on a trust account, either by adding or removing trustees, or when a trust is acting as an agent or authorized signer. Please allow ~7 business days for processing after we receive your form.

Designate beneficiaries

Nonretirement account beneficiary
Add or change your beneficiaries	Use this process to add or change the beneficiaries for either your retirement or nonretirement account. Please allow 5-7 business days for processing after we receive your form.
Retirement account beneficiary
Add or change your beneficiaries	Use this process to add or change the beneficiaries for either your retirement or nonretirement account. Please allow 5-7 business days for processing after we receive your form.

Update your account

Change your address
Affidavit of Residence	Confirm the last legal address of a deceased Vanguard Brokerage Services� client if you're the executor of the estate.
Change your address or remove RPO status from your account	Use this process to change your mailing address or remove the RPO status on your account. Please allow 5-7 business days for processing after we receive your form.
Change your name	Use this process to change the name on your account. Please allow 5-7 business days for processing after we receive your form.
Control Person Status	Use this process to remove the control person restriction from a Vanguard Brokerage Account.
One-and-the-Same Certification	Use this process to authenticate any name differences on your accounts with Vanguard and other institutions, as well as on physical securities you present for deposit. Please allow 5-7 business days for processing after we receive your form.

Additional forms

Brokerage

Moving Your Vanguard Funds to a Vanguard Brokerage Account

For clients transferring Vanguard mutual fund accounts to either an existing upgraded brokerage account or a new brokerage account.

Stop Release Request

Use this form when the certificate has had a stop placed on it by the client or the Transfer Agent. A stop is typically the result of the certificate being reported lost or stolen.

Your Upgraded Vanguard Brokerage Account

Information for clients who upgraded a Vanguard mutual fund account to a VBA. Also includes information about Vanguard Brokerage Services.

Additional forms

(VBA) Earnings, Savings, and Investment Objectives Form

FOR RETAIL BROKERAGE ACCOUNTS ONLY. Complete this form to provide earnings, savings, and investment objectives per industry regulations.

Abandonment Request

Use this process to abandon/remove securities from your Vanguard account. Please allow 5-7 business days for processing after we receive your information.

Abandonment Request Form

Use this form to abandon/remove securities from your Vanguard account

Add a duplicate statement address

The duplicate statement mail option allows a client to send information about a given fund/account to another address, in addition to the address of record.

Add or Update your Trusted Contact

Use this process to add or change your Trusted Contact

Business Continuity Plan

Vanguard plans carefully and methodically to ensure a quick and smooth recovery in the event of a disaster or emergency. Read more about Vanguard's plan for disaster recovery.

Certification of Beneficial Owners

Use this process to identify the person with control as well as any beneficial owners of an organization or a trust. Please allow 5-7 business days for processing after we receive your form.

Choose Dividend and Capital Gains Elections

Allows you to change your dividend and capital gain elections

Control Person Status

Use this process to remove the control person restriction from a Vanguard Brokerage Account.

Money Market Reform Eligibility Certification

Use this process to certify that your Vanguard retirement trust account eligible for retail money market funds under the SEC's money market rules. Please allow 5-7 business days for processing after we receive your form.

Protect Your Finances From Exploitation

This brochure provides clients information on how to avoid scams and financial exploitation, and how to protect their accounts from financial exploitation.

PAS Successor Trustee

Use this process to notify Vanguard National Trust Company of our future trustee appointment.

Successor Custodian Designation

Use this process to name a person to succeed you as custodian on your Vanguard Uniform Gift to Minors Act (UGMA) or Uniform Transfer to Minors Act (UTMA) account. Please allow 5-7 business days for processing after we receive your form.

Tax forms

Cost Basis Update Noncovered Shares

This digital form updates cost basis details for noncovered securities in nonretirement accounts. You'll need purchase details. This form is for clients with $1M+ at Vanguard or Address VQA, or clients enrolled or enrolling in PAS/DA offers.

Form W-9 (Request for Taxpayer Identification Number and Certification)

Use this process to update or certify your Taxpayer Identification Number. Please allow 5-7 business days for processing after we receive your form.

Minnesota Withholding Certificate for Pension or Annuity Payments

FOR MN RESIDENTS ONLY. Use this process to complete Form W-4MNP so the financial institution making these distributions can withhold the correct Minnesota income tax.

Withholding Certificate for Pension or Annuity Payments (Form CT-W4P)

For CT residents ONLY. Use this process to tell payers the correct amount of income tax to withhold for pensions, annuities, and certain other deferred compensation. Please allow 5-7 business days for processing after we receive your form.

Special notice to non-U.S. investors

Forms & applications

Your Upgraded Vanguard Brokerage Account

(VBA) Vanguard Brokerage Account IRA Distribution

Distribution from a TA Vanguard IRA

Excess Removal Fact Sheet

Recharacterization Fact Sheet

Roth Conversion Fact Sheet

Change of Ownership Between Vanguard Nonretirement Accounts Enhanced

Your Upgraded Vanguard Brokerage Account

PAS Successor Trustee

Cost Basis Update Noncovered Shares

Minnesota Withholding Certificate for Pension or Annuity Payments

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