How to Obtain a Stock Certificate (3 Steps)

Ask your broker to get the stock certificate on your behalf. This is the easiest way to get a stock certificate. No matter what type of broker you have an account with--online broker or full-service broker--you can request a physical stock certificate at an additional fee. Check with your broker for details about the process as well as the fee you will have to pay.
Contact the company in which you own shares directly. If you purchased the shares directly from the company, then you can contact them for a physical stock certificate. If you cannot locate or contact the company directly, you may visit its state of incorporation for information.
Order the stock certificate through a transfer agent. Most companies that issue shares to the public have a transfer agent to handle the company's securities. You can find the name of the company's transfer agent in the company's annual report. You can visit the U.S. Securities and Exchange Commission to get the annual report of any company listed on the stock exchange.

How to Transfer Stock Certificates (3 Steps)

Contact your financial representative. In order to transfer a stock certificate, you must get the help of the firm holding your shares. If you intend to transfer your stock to another brokerage account, the easiest way is usually to use the Automated Customer Account Transfer Process, or ACATS. Through ACATS, transfers are usually completed in 6 to 10 business days. The main advantage of ACATS is convenience. Instead of having to call the company's transfer agent, or obtain physical stock certificates, all you have to do is provide your firm with written instructions outlining your intentions. Generally speaking, this information will include the destination account number, name of firm, name of account holder, and exact number of shares you wish to transfer. Some firms request a more formal Transfer Information Form (TIF), which requests the same information. As long as you are the valid owner of the stock, the process should begin immediately.
Sign the certificates and transfer them yourself. If you hold your own stock certificates, or for any reason do not want to go through the ACATS process, you can make the transfer yourself. Follow the instructions on the back of your stock certificate to make the transfer legal. Generally speaking, you will enter the name of the party you wish to make the transfer to, and you will sign the certificate at the bottom. You may also have to enter the name of the authorized transfer agent of the company in order to effect the change.
Monitor the transfer. Make sure that the proper amount of the correct security ends up in the right account. Although the stock transfer process is pretty straightforward, even with explicit instructions, mistakes do occur. Sometimes the name on the receiving account is not an exact match with those in the instructions and the transfer is denied, while other times certificates are simply lost. Although lost certificates are unlikely with the ACATS system, manual transfers can be at risk. A lost or misplaced certificate is generally just an administrative headache rather than a true cause for alarm, but it could delay your transfer and should be monitored.

How to Perfect a Lien Upon Shares of Stock (3 Steps)

Draft a security agreement, which gives you a lien on the shares of stock to guarantee the debt's repayment. Review the SBA Form Security Agreement for an informative example of a security agreement. Sign and date the security agreement. Request that the other party sign the security agreement as well.
Take physical possession of the stock share certificates. If the certificates are registered in the other party's name, request the party endorse the certificates over to you by separate document. Generally, the document need only recite the security terms, and that the shares are assigned and transferred to you pursuant to the security agreement. The physical possession of the stock constitutes perfection in the majority of jurisdictions, but it's recommended you proceed to perfect the stock as you would other property.
File a Uniform Commercial Code Financing Statement. The UCC financing statement puts the entire world on constructive notice that you have a security interest or lien in the shares of stock. This protects you from other parties claiming to have a higher previous lien in the shares. Filing the UCC financing statement is not absolutely or legally necessary for perfection of a lien on stock, in the majority of states, but offers further protection of your lien.