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    how do you know which bank owns a stock if you have no stock certificate?

    My dad passed away and I received 7 1099-DIV for his IRS tax return. How can I find out which stocks are associated with each of these 1099 reports?

    0  Views: 405 Answers: 2 Posted: 13 years ago

    2 Answers

    Look for your dad's most recent portfolio statement.  He probably had tucked away the monthly or quarterly statements somewhere.  Typically it'd have the costs as well as trade dates in the statement if the financial institution held the positions in street name for him. Otherwise, you would need to have evidence of how many shares for each stock position.  That can be determined by the dividends received (7 1099 DIV) from the previous calendar year, adjusted quarterly of course to determine the right amount of shares owned.  Once you know how many shares of each position he owned, you can contact a transfer agent to try to get them (stock certificates) re-issued.  There's a hefty fee (usually a percentage of the value) charged by these people for the re-issuance of these stock certificates.  Lastly, the court may have to first declare you the beneficiary of his estate or at least a representative of the estate.  Good luck!

    You would have to contact the management of the funds in each of the 7 cases.


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