Irrevocable Stock Power - Capital One Investing

Irrevocable Stock Power

Steps to deposit a stock certificate

1 Complete the entire form. Mail document to:

2 Include the original stock certificate and all other required Capital One Investing, LLC
documents which might include a Letter of Authorization for a PO Box 4249
registry change. We only accept certificates for stocks traded Seattle, WA 98194-0249
on the National Securities Exchanges – i.e., NYSE, AMEX, or
NASDAQ.

3 Sign the form in the presence of a Notary Public or someone able
to provide a Medallion Signature Guarantee.

4 Send in your forms and required documents by mail only.

Frequently Asked Questions Customer Service: 800-747-2537

Do I need to complete a form for each stock certificate to be deposited?
Yes, a separate form should be completed for each certificate. However, if you have multiple certificates for the same
security and same registration, one form can be accepted.

Important: Do not fill out or sign the back of the certificates.

You may only transfer in securities that are eligible for trading in a Capital One Investing account and which are
traded on the National Securities Exchanges – i.e., NYSE, AMEX, or NASDAQ. Please confirm your securities are
eligible before sending your certificates. Depositing stock certificates is free of charge providing the name of the stock
certificate matches the name on the Capital One Investing account.

What if the name(s) on the stock certificate do not match the Capital One Investing account being
deposited too?
If the registration on the certificate and the account do not match, then you will also need to include a Letter of
Authorization, which will authorize us to deposit your certificate.

All certificate owners must sign this letter and the signatures much be verified by a Notary or Medallion Signature
Guarantee.

What is the difference between a Notary seal and a Medallion signature guarantee?
A Medallion signature guarantee is a stamp provided by a financial institution to verify that a signature is valid. You can
obtain a Medallion Signature Guarantee at a commercial bank, credit union, brokerage firm, savings association, or
any financial institution who is an approved member.

A Notary seal is provided by a Notary Public, a person who is authorized by the government to verify written
documents. You can usually find such a person either at a financial institution (such as a bank or credit union) or in
your local phone directory.

Securities are offered by Capital One Investing, LLC, a registered broker-dealer and Member FINRA/SIPC. Advisory services are provided by Capital One Advisors, LLC, an SEC registered
investment advisor. Insurance products are offered through Capital One Agency LLC. All are subsidiaries of Capital One Financial Corporation.

Securities and services are: Not FDIC insured • Not bank guaranteed • May lose value • Not a deposit • Not Insured by any Federal Government Agency

Customer Service: 800-747-2537 Irrevocable Stock Power 1 of 3
Capital One Investing, LLC, PO Box 4249, Seattle, WA 98194-0249

Do you need a Letter of Authorization?
If you are depositing a stock certificate into an account with different registration information, you MUST also
complete the appropriate Letter of Authorization. You can obtain these online under the Forms & Applications
section.

• Individual Certificate to Joint Account
• Joint Certificate to Individual Account

Account Information

Account Number

Account Owner
Secondary Account Owner (Joint/Custodial Only)

Important: This form is accepted by mail only and must include the original stock certificate. Do not fill out
or sign the back of the certificate.

Office Use Only

For value received, the undersigned hereby sell, assign and transfer to:

Certificate for Deposit

Number of shares
Stock (Company Name)
Certificate Number

Authorization and Signature

The undersigned hereby irrevocably constitute and appoint Capital One Investing, LLC, to transfer the said stock,
as the case may be, on the books of said Company, with full power of substitution in the premises.

Important: The signature(s) of this Irrevocable Stock Power form must correspond with the name(s) as written on the stock certificate without
alteration, enlargement or any change whatsoever. All signatures must be signed in front of a Notary Public or person able to give a Medallion
Signature Guarantee.

X Date X Date

Signature Signature (joint/custodial only)

Signature guarantee or notary (required) Signature guarantee or notary (required) 2 of 3
Irrevocable Stock Power
Customer Service: 800-747-2537
Capital One Investing, LLC, PO Box 4249, Seattle, WA 98194-0249

Do you need a Letter of Authorization?
If you are depositing a stock certificate into an account with different registration information, you MUST also
complete the appropriate Letter of Authorization. You can obtain these online under the Forms & Applications
section.

• Individual Certificate to Joint Account
• Joint Certificate to Individual Account

Account Information

Account Number 1 2 3 4 5 6 7 8 9 0
Account Owner John Q. Sample

Secondary Account Owner (Joint/Custodial Only)

Important: This form is accepted by mail only and must include the original stock certificate. Do not fill out
or sign the back of the certificate.

Office Use Only

For value received, the undersigned hereby sell, assign and transfer to:

Do not complete this area
SAMPLE
Certificate for Deposit

Number of shares 200
Stock (Company Name) General Electric
Certificate Number A101 and A102

Authorization and Signature

The undersigned hereby irrevocably constitute and appoint Capital One Investing, LLC, to transfer the said stock,
as the case may be, on the books of said Company, with full power of substitution in the premises.

Important: The signature(s) of this Irrevocable Stock Power form must correspond with the name(s) as written on the stock certificate without
alteration, enlargement or any change whatsoever. All signatures must be signed in front of a Notary Public or person able to give a Medallion
Signature Guarantee.

X Date X Date

Signature Signature (joint/custodial only)

Signature guarantee or notary (required) Signature guarantee or notary (required) 3 of 3
Irrevocable Stock Power
Customer Service: 800-747-2537
Capital One Investing, LLC, PO Box 4249, Seattle, WA 98194-0249