Before attempting to change the registration name on your Broadridge account, make sure that there are no restrictions on any of your shares (see Restricted Stock).
Changing the registration name on your Broadridge account typically pertains to three situations: Changing your shares from a corporate registration to an individual, changing the registration name of the individual on the account, or transferring shares to another individual.
To accomplish this, you will need to fill out the Legal Transfer Form. We have detailed the process to fill this document out below.
Page 1 (The account you are moving the shares out of):
Name of Stock Issuer: EXP WORLD HOLDINGS INC
Account Number: Pull this from your account statement or reach out to [email protected] if you need that statement.
Tax ID/SSN: This would be the tax ID on the current account, it will be an EIN for a corporation or an SSN/SIN for an individual.
Account Registration: This is the name as printed on your account statement.
Mailing Address: This would be the mailing address as printed on your account statement.
Total Shares to be Transferred: Should you be looking to move all shares, then select Transfer ALL Shares, otherwise, list the number of shares you wish to move under the DRS Book-Entry Shares box.
Reason for Transfer: Please consult your tax advisor regarding the tax implication for each scenario and select the one that fits your situation.
Sign on the signature line and put your legal capacity relative to the current account (owner, self, director etc.). The box to the right is where the Medallion Signature Guarantee (MSG) will go. You can obtain a Medallion Signature Guarantee from a financial institution. To find an institution that provides an MSG near them, they can visit the MSG Lookup website: http://www.msglookup.com/index.html
Please note, accounts containing less than $5,000.00 USD in stock, do not need to provide an MSG for the purposes of the Legal Transfer Form.
Page 2 (The account you will move the shares into):
New Shareholder Account Type: Only fill this out if you are creating a new account to move the shares into (for example, if you only had stock in a corporate account, you would create an individual account). Check the box that fits the account you want to create.
New Shareholder Information: Check New Account if you are creating a new account or Existing Account Number if you are moving the shares into a pre-existing account that you have the account number for. Below that, fill out the required information for the account in question (for new accounts, this will be the information that appears on that account).
Share Designation: This portion can be skipped.
Signature: Be sure to sign and date the signature at the bottom of the second page.
Page 3 (W9 matching the information on Page 2)
The third page of the Legal Transfer Form is a W9, fill it out to match the information for the account on page 2.
Pages 4 and 5 of the Legal Transfer Form can be skipped.
Final Steps:
Once pages 1-3 have been filled out and an MSG has been obtained, the document will be ready to send to Broadridge. You can send the document to [email protected] if you want to have it reviewed by our team before mailing it.
After you are prepared, mail the form to one of the two addresses below. Once received, Broadridge will process this form within 3-5 business days.
Regular Mail
Broadridge Shareholder Services
c/o Broadrige Corporate Issuer Solutions
P.O. Box 1342
Brentwood, NY 11717-0718
Overnight Mail
Broadridge Shareholder Services
c/o Broadridge Corporate Issuer Solutions
1155 Long Island Avenue
Edgewood, NY 11717-8309
ATTN: IWS