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Restricted Stocks

All physical stock certificates must include an Equity Deposit Questionnaire. Make sure to either endorse the back of the certificate or include an original signed Stock Power Form. For certificates signed by only one officer from the issuer, the issuer must provide a Corporate Resolution – For Certificates with Only One Signer. For certificates representing more than one million (1,000,000) shares, the issuer must provide a Corporate Resolution – For over 1 Million shares.


Mail to:
Key West Investments, LLC
227 W. Valley Blvd, Suite 298-B
San Gabriel, CA 91776

Share Deposits and Withdrawals

Equity Deposit Forms (required)

Restricted and/or Control Securities


If your security was acquired in an unregistered, private sale from an issuer or from an affiliate of an issuer, then it is restricted. It should bear a restrictive legend which says that you may not resell the shares in the public marketplace unless the sale is exempt from registration requirements.



Non-Restricted or "Free-Trading" Securities

A security not bearing a restrictive legend which has been registered with the SEC or an exemption to registered was utilized.



DWAC Form

All Deposit/Withdraw At Custodian (DWAC)  transfers must include a Equity Deposit Questionnaire.



DRS Form

All Direct Registration System (DRS) transfers must include the Equity Deposit Questionnaire as well as the supporting documentation.



DTC Form

All DTC transfers must include an Equity Deposit Questionnaire. DTC transfers are initiated from the sending firm. In order to initiate a DTC transfer, you must provide the sending firm the following information:
Penson Financial Services, Inc.; DTC No. 0234; For benefit of: Your Account Name and Account Number


ACAT Form

Automated Customer Account Transfer (ACAT) are initiated by the receiving firm. ACATs are used to transfer an account from one brokerage firm to another. In order to initiate an ACAT into your account, complete and mail an original ACAT Form. It is important that you include a copy of your most recent statement from the account you are transferring. Please note that we cannot accept shares of Pink Sheet securities that fall under the categories of Distressed, Dark/Defunct, or Toxic as classified by Pink OTC Markets Inc. on www.otcmarkets.com.

ACAT Form


NEED HELP? Please refer to Questions links or contact us at
626-377-9988

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