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Customer Service

For your convenience the following most commonly requested forms are available online in either Adobe Acrobat Reader® (PDF format) or Microsoft® Word. You need an Adobe Acrobat Reader in order to view or print the PDF versions of these forms, or Microsoft Word to open and display the forms so that data can be entered, printed and saved.



Forms Library

Please Note: Morgan Stanley cannot wire money to third parties when the employee requesting the wire is not part owner of the account.


  • Substitute Form W-8BEN (PDF, MS Word)

    A Form W-8BEN is a Certificate of Foreign Status form required by the IRS for non-U.S. participants. By completing a Form W-8BEN you certify under penalties of perjury that you are neither a U.S. citizen nor a resident alien, and are not subject to certain U.S. information return reporting. Morgan Stanley is required by law to obtain this Form from you before executing your instruction to sell stock on your behalf.A Form W-8BEN generally remains in effect for three calendar years. A new form should also be completed every time you change your address.

    General Instructions for the W-8BEN form:This form may be completed only by or for a nonresident alien individual. If you are a U.S. citizen or an alien resident in the United States for tax purposes, do not use this form. Instead complete a Form W-9. Failure to submit this form will result in IRS-mandated tax withholding.

    Please Note: Morgan Stanley will not accept fax copies of Form W-8BENs. Non U.S. employees are required to send a signed original completed Form W-8BEN via regular mail or overnight delivery to Morgan Stanley. The address to which the completed form must be sent appears on the bottom of the form. If a signed original form is not recieved, 28.00% will be deducted from the proceed of your sale.    

  • Substitute Form W-9 (PDF, MS Word)

    A Form W-9 is a Payer's Request for Taxpayer's Identification Number and Certification. Under penalties of perjury this form tells Morgan Stanley that you are not subject to backup withholding because of under-reporting interest and dividends on your tax return, and to certify that the Social Security Number shown on the Form is your correct taxpayer identification number. This form is generally applicable to U.S. persons, including resident aliens. The address to which the completed form must be sent appears on the bottom of the form.

    Please Note: It is imperative that you certify your tax status prior to selling your shares with Morgan Stanley. You may certify by either completing a hard-copy form and fax to the number provided on the bottom of the form or complete online by accessing your account on our website at www.benefitaccess.com.

    If this certification is not received, 28% backup withholding will be deducted from the proceeds of your sale.


  • Letter of Authorization to Transfer Assets by Fed Fund (PDF, MS Word)

    This form authorizes Morgan Stanley to transfer U.S. dollars generated from the exercise and sell of your stock options to another account or financial institution in the form of a wire transfer as specified by you. This is a standing instruction that does not expire. These instructions will remain in place until modified or rescinded by you. The funds will not be wired automicatically unless instructed at the time of the trade. This form is not valid for transfer of funds other than U.S. dollars resulting from proceeds converted by Worldlink.


  • Letter of Authorization to Transfer Assets (Securities)

- Delivery to US Banks (PDF, MS Word)

- Delivery to Non-US Banks(PDF, MS Word)

This form authorizes Morgan Stanley to transfer assets from your employee stock plan account to another Morgan Stanley account specified by you or to another financial institution.

  • Change of Address Form (PDF, MS Word)

    For permanent address changes, please follow your company's guidelines for updating personal records. Temporary address changes must be submitted in writing to Morgan Stanley and remain in effect until the next time your company sends Morgan Stanley an updated address file.

    Please Note: The fax cover sheet can be used for this form only.

  • Tax Filing Guide after Exercising Non-Qualified Stock Options (NQs) (PDF)

    Morgan Stanley has prepared the following information to assist you in understanding the tax consequences involved when exercising a Non-Qualified Stock Option. Also included are sample forms and an explanation of the information needed to assist you in reporting the exercise of Non-Qualified Stock Options on your individual income tax return.
    IRS Circular 230 Disclosure: Morgan Stanley Smith Barney LLC and its affiliates do not provide tax or legal advice. To the extent that this material or any attachment concerns tax matters, it is not intended to be used and cannot be used by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Any such taxpayer should seek advice based on the taxpayer's particular circumstances from an independent tax advisor.

  • Tax Filing Guide after Exercising Incentive Stock Options (ISOs) (PDF)

    Morgan Stanley has prepared the following information to assist you in understanding the tax consequences involved when exercising Incentive Stock Option. Also included are sample forms and an explanation of the information needed to assist you in reporting the exercise of an Incentive Stock on your individual income tax return.
    IRS Circular 230 Disclosure: Morgan Stanley Smith Barney LLC and its affiliates do not provide tax or legal advice. To the extent that this material or any attachment concerns tax matters, it is not intended to be used and cannot be used by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Any such taxpayer should seek advice based on the taxpayer's particular circumstances from an independent tax advisor.

  • Tax Filing Guide after the Sale of Restricted Stock (PDF)

    Morgan Stanley has prepared the following information to assist you in understanding the tax consequences involved when selling Restricted Stock. Also included are sample forms and an explanation of the information needed to assist you in reporting the sale of Restricted Stock on your individual income tax return.
    IRS Circular 230 Disclosure: Morgan Stanley Smith Barney LLC and its affiliates do not provide tax or legal advice. To the extent that this material or any attachment concerns tax matters, it is not intended to be used and cannot be used by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Any such taxpayer should seek advice based on the taxpayer's particular circumstances from an independent tax advisor.

  • Tax Filing Guide after the Sale of ESPP Shares (PDF)

    Morgan Stanley has prepared the following information to assist you in understanding the tax consequences involved when selling stock acquired through an Employee Stock Purchase Plan. Also included are sample forms and an explanation of the information needed to assist you in reporting the sale of stock on your individual income tax return.
    IRS Circular 230 Disclosure: Morgan Stanley Smith Barney LLC and its affiliates do not provide tax or legal advice. To the extent that this material or any attachment concerns tax matters, it is not intended to be used and cannot be used by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Any such taxpayer should seek advice based on the taxpayer's particular circumstances from an independent tax advisor.


  • WorldLink Wire Form (PDF)

    The WorldLink Form is used to allow participants the ability to receive proceeds in currencies other than US Dollars after the sale of stock. WorldLink provides exchange rates and distributes the proceeds to the participants in the form of currency check or currency wire. WorldLink wires are allowed for ONLY certain non-US corporate clients. In order for you to receive a WorldLink Wire, Morgan Stanley must offer the desired local currency, your company plan must offer WorldLink, and a Form W-8BEN must be on file and approved at time of trade.

    Please ensure the WorldLink Wire Form is completely filled out. Missing information will cancel out the currency conversion wire, and a US Dollar check will be mailed to the address of record instead

    You should check with a Morgan Stanley Service Professional to verify if your company offers this method, and the desired currency before submitting this form.


  • Direct Registration Form (PDF)

    The Securities and Exchange Commission passed a regulation eliminating the option to receive a stock certificate. Companies that offer Direct Registration System (DRS) can no longer receive stock certificates.

    Direct Registration is a free alternative to stock certificates that registers your shares directly on the books of the company transfer agent without the need for a physical certificate to prove ownership. You do not receive a physical certificate, but instead receive a statement of ownership and periodic account statements (at least yearly). Dividend or interest payments, proxy materials, annual reports, and other pertinent materials are mailed to you from the issuer or transfer agent.

    Please ensure the DRS Transfer Form is completely filled out. Missing information will delay processing the DRS transfer.

    You should check with a Morgan Stanley Service Professional to verify if your company offers this.


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