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Investor Services Frequently Asked Questions

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Frequently Asked Questions

This page outlines steps required to make routine changes to your account, such as requesting distributions, updating addresses, or changing beneficiaries. Changes can be made by returning the necessary documentation to our office, or by logging in to your account. Retail Service Representatives are available between the hours of 9:00 a.m. and 6:00 p.m. ET, Monday through Friday, at 1.800.877.9700 and you may also submit questions online.

How do I request a distribution from my account?

If you have telephone redemption privileges, please call a Retail Service Representative between the hours of 9:00 a.m. and 6:00 p.m. ET, Monday through Friday, at 1.800.877.9700. Please make sure you have the account number and social security number available when calling.

For non-retirement accounts, please fill out the Non-Retirement Account Request for Distribution Form.

For IRA/Roth IRA accounts, please fill out the following form: IRA/Roth IRA Request for Distribution Form.

For all other non-IRA retirement accounts, please fill out the following form: Retirement Plans Request for Distribution Form.

How do I link my bank account with my Neuberger Berman account?

Please complete the Bank Account Authorization Form.

Can my paperwork be faxed to Neuberger Berman?

As long as the paperwork does not require a Medallion Signature Guarantee, it can be faxed to 1.816.218.0478.

I currently have a joint account but a joint owner has passed away. How do I re-register the account?

There are two forms that need to be filled out by the surviving joint owner in order to transfer ownership when the other owner has passed away. The forms are:

  1. Transfer of Account Registration Form.
  2. Application for New Individual/Joint/Custodial Account.

I am currently registered as the custodian on an account and the former minor has reached the age of majority in my state. How can I remove myself?

There are two forms that need to be filled out in order to transfer the account into the name of the former minor. The forms are:

  1. Transfer of Account Registration Form. This must be signed by the custodian unless the former minor is currently 25 or older.
  2. Application for New Individual/Joint/Custodial Account. This must be completed by the former minor.

I am currently in process of moving and need to update my address. How can I go about doing that?

There are several ways you can update your address:

By filling out the Change of Address Form.

Over the phone by calling a Retail Service Representative between the hours of 9:00 a.m. and 6:00 p.m. ET, Monday through Friday, at 1.800.877.9700. Please make sure you have your account number and social security number available when calling.

Accessing your account online through the following link: Online Account Access

How can I add or update the beneficiaries on my account?

For IRA/Roth IRA accounts, please fill out the following form: IRA Designation of Beneficiary.

For all other non-IRA retirement accounts, please fill out the following form: Retirement Plans Designation of Beneficiary.

For non-retirement accounts, please fill out the following form: Non-retirement Designation of Beneficiary.

How do I transfer retirement assets from an IRA account at another institution to NB?

Please complete the IRA Transfer of Assets Form.

If you don't have a IRA currently established, please complete the New IRA Account Application.

How do I rollover a 401(k) or other Qualified Retirement Plan from another institution to an IRA at NB?

Please complete the Direct Rollover Form.

If you don't have a Traditional IRA currently established, please complete the New IRA Account Application.

How do I convert a Traditional IRA to a ROTH IRA?

Please complete the Roth IRA Conversion Form.

If you don't have a ROTH IRA currently established, please complete the New ROTH IRA Account Application.

How do I set up a systematic withdrawal from my IRA account?

Please fill out the IRA Systematic Withdrawal Form.

How do I set up a systematic withdrawal from my qualified retirement plan?

Please fill out the Qualified Retirement Plan Systematic Withdrawal Form.

I am the executor/executrix of an estate for a shareholder who has passed away. How do I register their individual account into an estate?

There are two forms that need to be filled out in order to transfer the account into an estate. The forms are:

  1. Transfer of Account Registration Form. If the account is to be liquidated immediately, please specify these instructions on Section 4 of this form.
  2. Application for New Trust/Estate Account. If this account will remain open, please include a copy of the Letters of Testamentary/Administration.

A shareholder with a retirement account has passed away. What do I do?

Please call a Retail Service Representative between the hours of 9:00 a.m. and 6:00 p.m. ET, Monday through Friday, at 1.800.877.9700. Please make sure you have the account number and social security number available when calling.

We can provide the name(s) of the beneficiary (ies) and provide further instructions on how to re-register the account(s) in question.

How can I transfer my individual or joint account into a trust account?

There are two forms that need to be filled out in order to transfer ownership into a trust account. You will need to provide the following forms and documentation:

  1. Transfer of Account Registration Form.
  2. Application for New Trust/Estate Account.
  3. A copy of the first and last pages of the trust document/agreement.

I have recently changed my name. How do I update this on my NB account?

Please complete the Change of Name Form.

How do I add myself as Power of Attorney to an account?

There are a couple of things you'll need to be listed as Power of Attorney for an account:

  1. A letter of instruction detailing your request to be added as Power of Attorney. This letter of instruction should reference the account number(s) to which you should be added. Per the US PATRIOT Act, please include your Social Security Number and Date of Birth.
  2. A copy of a Power of Attorney document that has been certified within the past 5 years.

How can I obtain old statements for my account(s)?

Please call us at 1.800.877.9700 to request a transcript for your account.

Can I write checks off of my account?

If you have a non-retirement account invested in the State Street Institutional Liquid Reserves Fund or State Street US Government Money Fund, please complete the Checkwriting Privileges Form.

How do I update the cost basis method on my account?

Please complete the Cost Basis Election Form.