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This Web site contains a compilation of more than a thousand consumer finance  columns written by Tony Novak from the 1980s through 2006, updated and reformatted for maximum usefulness today.  New material was added after 2010.

Content is the opinion of the author and does not represent the position of any other person or entity. Information is from sources believed to be reliable but cannot be guaranteed.

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Notarization of investment forms

originally posted: 11/22/2006  reposted: 2/18/2011 This post has not been recently reviewed or revised by the author and may be out of date. If you notice an error or are in doubt, please send a new question by email or ask for an update. Email

Q: I completed the forms to transfer my investment accounts to Vanguard. Do my IRA account applications need to be notarized?

A: Not usually, so do not bother unless you are specifically notified by the releasing firm that this is required. The only form that needs special attention is the "Limited Adviser Authorization" that requires a one-time signature guarantee by your bank. This is for your own protection as it allows the independent investment adviser to perform account management tasks but not get "hands on" the money. In any event, be sure to send the forms here for personal review before forwarding them to the account custodian. I would personally call to alert you if there were any problems.


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