Forms, Applications, and Documents

Account Type Reference

NAMEACTION
Account Type Reference ChartDownload
New Account Requirement MatrixDownload

Account Application and Transfer Form

NAMEACTION
Investment and Banking Multi-Account Application and AgreementDownload
Account App - SupplementalDownload
Electronic Document (e-Delivery) PolicyDownload
Transfer Request FormDownload
Transfer Request InstructionsDownload

Account Supplemental Forms

NAMEACTION
Beneficial Ownership CertificationDownload
Beneficiary IRA with Entity Supplemental FormDownload
Certification of TrustsDownload
Change Certification, Indemnity and AgreementDownload
Interested Party Authorization FormDownload
IRA Beneficiary Designation or Change RequestDownload
Power of AttorneyDownload
Rollover Designation FormDownload
Statement Family FormDownload
Transfer on DeathDownload
Trusted Contact Person (TCP)Download

Account Agreements and Terms & Conditions

NAMEACTION
Customer Account Agreement and Advisor AuthorizationDownload
Standard Fee ScheduleDownload
Individual Retirement Custodial Account AgreementDownload
Inherited Individual Retirement Custodial Account AgreementDownload
Inherited Roth Individual Retirement Account AgreementDownload
Roth Individual Retirement Custodial Account AgreementDownload
Simple Individual Retirement Custodial Account AgreementDownload
Margin AgreementDownload
Simple IRA Employee PlanDownload
Simplified Employee Pension (SEP) PlanDownload
Insured Deposit Program Terms & ConditionsDownload

Contribution / Distribution Forms

NAMEACTION
Advisor Authorization for Money MovementDownload
Beneficiary Distribution RequestDownload
Custody Only Qualified Plan Distribution RequestDownload
Distribution Options for Inherited IRAsDownload
Employer-Sponsored Plan Advisor Authorization for ContributionsDownload
IRA and Beneficiary IRA Systematic Distribution RequestDownload
IRA Distribution RequestDownload
IRA Return of Excess Contribution and Recharacterization RequestDownload
IRA Systematic and One-Time ACH Contribution RequestDownload
Non-Retirement Account Distribution RequestDownload
Non-Retirement Account One-Time ACH Deposit RequestDownload
Non-Retirement Account Systematic Contribution/Distribution RequestDownload
Qualified Plan Account Distribution RequestDownload
Qualified Plan Corrective Distribution of Excess RequestDownload
Qualified Plan Systematic and One-Time ACH Contribution RequestDownload
Qualified Plan Systematic Distribution RequestDownload

Solo 401(k) Forms and Documents

NAMEACTION
Solo 401(k) Beneficiary Designation/Change RequestDownload
Solo 401(k) Defined Contribution Account PackageDownload
Solo 401(k) Plan Loan RequestDownload
Solo 401(k) Plan Termination PackageDownload
Solo 401(k) Plan Systematic and One-time ACH Loan PaymentDownload
Solo 401(k) Reportable Loan Information RequestDownload
Solo 401(k) Solo Loan Request FormDownload
Solo 401(k) Supporting Plan DocumentsDownload

Other Forms and Documents

NAMEACTION
Change of AddressDownload
Checking Account ApplicationDownload
Getting to Know Your CustodianDownload
IRS Approval LetterDownload
IRS Contribution Limits and BenefitsDownload
State Tax Withholding InformationDownload
Electronic Delivery Change/Opt-Out Request FormDownload
Third-Party Export RequestDownload
IRA Withholding Notice and ElectionDownload

For Additional Support

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