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Open a nonretirement account
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Additional forms    
Brokerage Option Application and Agreement

Request option trading for your Vanguard Brokerage Services® account. Before conducting option trading, you must obtain approval from Vanguard Brokerage Services.


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Commission and Fee Schedules for Vanguard Brokerage Services

Review current commission rates and fee schedules for Vanguard Brokerage Services® accounts.


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FundAccess Brochure and Fund Listing

FundAccess®, available through Vanguard Brokerage Services®, is your gateway to thousands of mutual funds. This brochure gives instructions on how to use this service, answers FAQs, and provides a list of funds available through FundAccess.


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Letter of Authorization to Deposit Stock and Bond Certificates

Use this form when the registration (name or names) on a stock or bond certificate doesn't match the registration on the Vanguard® Brokerage account.


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Personal    
Account Registration form

Open a new nonretirement Vanguard mutual fund account.


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Brokerage In-Kind Account Transfer Kit

Use this form to transfer most types of retirement and nonretirement assets from another financial firm to your Vanguard brokerage account.


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In-Kind Transfer Authorization Kit

Transfer Vanguard® fund shares currently held at another institution to an account held directly at Vanguard. Your current custodial institution may require you to obtain a signature guarantee before releasing the shares to Vanguard.


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Net unrealized appreciation: How you may save on stock transfers

Thinking of transferring company stock from your employer-sponsored retirement plan to an account in your name? Find out if the net unrealized appreciation strategy is right for you and your tax situation.


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Opening a Nonretirement Brokerage Account kit

Learn about Vanguard Brokerage Services® and open almost any type of brokerage nonretirement account.


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Vanguard Brokerage Account Agreement

This Vanguard Brokerage Account Agreement contains important terms and conditions that apply to your Vanguard Brokerage Account.


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Trust    
Account Registration Form - Trust Only

Open a new nonretirement Vanguard® mutual fund trust account.


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Opening a Nonretirement Brokerage Trust Account Kit

Learn about Vanguard Brokerage Services® and open a brokerage nonretirement trust account.


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Business or organization    
Account Registration Form - Business or Organization Only

Open a new nonretirement Vanguard mutual fund account


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Organization Resolution

Authorize an organization's officers and others to conduct transactions on the organization's Vanguard accounts. May also be used to identify authorized persons for an organization serving as an agent on other shareholder's accounts.


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Open a retirement account
Additional forms    
Roth IRA Conversion Kit

Convert your traditional, SEP, or SIMPLE IRA to a Vanguard® Roth IRA.


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Roth IRA Conversion Kit for Brokerage Accounts

Convert your traditional, SEP-IRA, or SIMPLE IRA to a Vanguard® Roth IRA.


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Personal IRAs    
Disclosure Statement and Custodial Account Agreement for Vanguard® Traditional, Roth, and SEP-IRAs

The Disclosure Statement and Custodial Account Agreement describe the general requirements and features of both the Vanguard traditional IRA and Roth IRA. This Disclosure Statement is provided in accordance with IRS regulations.


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IRA kit

Learn about and open a Vanguard® traditional or Roth IRA.


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Opening a Retirement Brokerage Account kit

Learn about Vanguard Brokerage Services® and open a self-directed traditional, Roth, SEP, or rollover IRA, or move an existing IRA to Vanguard.


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Small business    
403(b)(7) Individual Custodial Account Agreement

This document details the terms and conditions of the Vanguard 403(b)(7) Individual Custodial Account.


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403(b)(7) Individual Custodial Account Agreement (for Employees)

This kit details the rules for establishing and running a 403(b)(7) account.


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403(b)(7) Information Sharing Agreement

Employers and plan sponsors can use this form to comply with the information sharing requirements related to contract exchanges.


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403(b)(7) Plan Authorization Form Kit

Employers/administrators can use this kit to assign or change plan roles, or request online account access. This kit also contains the 403(b)(7) Information Sharing Agreement, Service Program Description, and Individual Custodial Account Agreement.


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403(b)(7) Retirement Plan (for Employers)

If your organization is not-for-profit, open a 403(b)(7) retirement plan with this kit. After you do so, employees can open individual custodial accounts.


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403(b)(7) Service Program Description

This form describes the roles and responsibilities of the employer and Vanguard, as well as the options and services available through Vanguard's 403(b)(7) program.


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Form 5305 SEP-IRA Contribution Agreement

Employers use this form to make an agreement to provide benefits to all eligible employees under a simplified employee pension (SEP).


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Form 5305-SIMPLE - for Use With a Designated Financial Institution

Form 5305-SIMPLE is a model Savings Incentive Match Plan for Employees of Small Employers (SIMPLE) plan document that an employer may use in combination with SIMPLE IRAs to establish a SIMPLE IRA plan.


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Individual 401(k) New Account Form (Employee)

Employees should use this form to open a Vanguard® Individual 401(k) Plan.


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Individual 401(k) New Plan Kit

Use this kit to open a Vanguard® Individual 401(k) Plan.


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Individual 401(k) Plan Document

The Plan document describes the general requirements and features of the Vanguard® Individual 401(k) Plan.


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SEP-IRA Disclosure Statement and Custodial Account Agreement

Learn about the general requirements and features of a SEP-IRA.


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SEP-IRA Kit

This kit provides everything an employer needs to establish a SEP-IRA Plan at Vanguard and allows an employee to enroll in their employer's SEP-IRA.


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SEP-IRA New Account Form

Use this form to enroll in your employer's SEP-IRA plan.


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SIMPLE IRA Disclosure Statement and Custodial Account Agreement

Learn about the general requirements and features of a SIMPLE IRA.


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SIMPLE IRA Employee kit

Open a SIMPLE IRA if your employer has already established a Vanguard® SIMPLE IRA plan.


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SIMPLE IRA Employer Kit

Establish a Vanguard® SIMPLE IRA retirement plan for yourself and eligible employees.


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Vanguard Retirement Investment Program - Pooled

Open a Vanguard® Retirement Investment Program for a Pooled Plan.


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Roll over a 401(k)    
Brokerage Rollover to IRA kit

Move brokerage assets from your employer-sponsored retirement plan to a Vanguard IRA®. To transfer brokerage securities in-kind, a Vanguard Brokerage In-Kind Account Transfer Form should be sent in addition to these rollover request forms.


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Rollover IRA kit

Move assets from your employer-sponsored retirement plan, or from an IRA that you hold at another institution, to a Vanguard IRA®. (This kit cannot be used to move brokerage assets).


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Transfer an IRA    
Brokerage In-Kind Account Transfer Kit

Use this form to transfer most types of retirement and nonretirement assets from another financial firm to your Vanguard brokerage account.


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IRA Asset Transfer kit

Move assets from an IRA at another financial institution to a new or existing Vanguard IRA®.


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Additional forms
Additional annuity forms    
Immediate fixed annuities through Vanguard Annuity Access

This brochure explains how immediate fixed annuities work, and how they can help you enjoy a more secure retirement. Learn about Vanguard's unique service that can help you find the option that's right for you.


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Structuring Your Annuity

Learn about important death benefit and tax considerations to keep in mind when structuring your Vanguard® Variable Annuity contract.


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Open an annuity
Income annuity    
Guaranteed Lifetime Withdrawal Benefit through the Vanguard Variable Annuity

This brochure explains how a Guaranteed Lifetime Withdrawal Benefit rider to the Vanguard Variable Annuity can provide you with dependable income during retirement that's protected from market downturns.


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Immediate fixed annuities through Vanguard Annuity Access

This brochure explains how immediate fixed annuities work, and how they can help you enjoy a more secure retirement. Learn about Vanguard's unique service that can help you find the option that's right for you.


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Income that can last a lifetime

This brochure explains three types of annuities that can provide guaranteed income in retirement and describes the annuity options offered through Vanguard. Kit NOT APPROVED FOR USE in OR.


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Fixed deferred annuity    
Fixed Deferred Annuities

Learn how you can save for retirement with the guaranteed rate of return provided by a fixed deferred annuity


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Vanguard Variable Annuity    
Annuity Cost Basis Form - 1035 Exchange

Use this form to update the cost basis information for your annuity contract if you came to Vanguard through a 1035 exchange and the cost basis information wasn't furnished by your previous provider.


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Guaranteed Lifetime Withdrawal Benefit through the Vanguard Variable Annuity

This brochure explains how a Guaranteed Lifetime Withdrawal Benefit rider to the Vanguard Variable Annuity can provide you with dependable income during retirement that's protected from market downturns.


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GLWB Guaranteed Income Illustration

See how retirement income payments work when you elect the optional Guaranteed Lifetime Withdrawal Benefit rider, available through the Vanguard Variable Annuity. The GLWB static illustration cannot be issued in OR at this time.


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Structuring Your Annuity

Learn about important death benefit and tax considerations to keep in mind when structuring your Vanguard® Variable Annuity contract.


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Vanguard Variable Annuity

Learn about variable annuities and the features and benefits of the Vanguard® Variable Annuity.


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Vanguard Variable Annuity Quarterly Performance Summary
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Variable Annuity—1035 Exchange Assignment Form

Form to make multiple 1035 exchanges to a Vanguard Variable Annuity.


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Transfer an annuity    
Annuity Cost Basis Form - 1035 Exchange

Use this form to update the cost basis information for your annuity contract if you came to Vanguard through a 1035 exchange and the cost basis information wasn't furnished by your previous provider.


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Structuring Your Annuity

Learn about important death benefit and tax considerations to keep in mind when structuring your Vanguard® Variable Annuity contract.


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Vanguard Variable Annuity

Learn about variable annuities and the features and benefits of the Vanguard® Variable Annuity.


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Vanguard Variable Annuity Quarterly Performance Summary
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Variable Annuity—1035 Exchange Assignment Form

Form to make multiple 1035 exchanges to a Vanguard Variable Annuity.


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Open a college savings account
529 college savings    
Vanguard 529 Enrollment Kit

Open a Vanguard® 529 College Savings Plan account. The kit contains an enrollment application and other information describing the plan.


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Vanguard 529 Incoming Rollover Kit

Roll over funds from another qualified 529 plan to a Vanguard® 529 College Savings Plan account.


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Uniform Gifts/Transfers to Minor    
Uniform Gifts or Transfers to Minors Enrollment Kit

Open a Vanguard Uniform Gifts or Transfers to Minors (UGMA/UTMA) account.


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