Included on this page are documents and forms which are frequently used by our clients. Some of the files included on this page require Adobe Acrobat, which can be downloaded for free Here.
DISCLAIMER: The forms found below are GENERIC FORMS ONLY. Your plan may have different requirements or provisions or require investment provider specific forms for distributions and/or loans. Please contact the administrator at your employer who handles the plan to obtain the correct required forms.
| Document Name | Description | File Type | File Size |
| This standard form is for participants who have terminated their employment and wish to request a distribution from a plan that is not subject to annuities | 212 KB | ||
| This form is used by participants who have terminated their employment and wish to request a distribution from a plan that includes annuity provisions, such as a defined benefit plan or a money purchase plan. Some 401(k) and profit sharing plans also have annuity provisions included. Participants may elect to receive a lump-sum payment rather than an annuity by completing the appropriate sections of the attached form. Married participant must obtain their spouse's written consent if payment is made in a form other than a qualified joint and survivor annuity, and the spouse's consent must be witnessed, either by a notary public or by an authorized plan representative. | 222 KB | ||
| Hardship Withdrawal | This form is for clients who need to withdraw money from their account after experiencing a hardship. | 29 KB | |
| Participant Loan Application | This form is used in order to apply for a loan from the Plan. Participant must attach such information which the Plan Administrator may require to determine whether you qualify for the loan, including financial statements and tax returns. | 241 KB | |
| Tax Notice | This notice explains how you can continue to defer federal income tax on your retirement savings and contains important information you will need before you decide how to receive your Plan benefits. | 132 KB | |
| Beneficiary Designation (401k and Profit Sharing Plans) | This is a beneficiary designation form which can be used for plans that do not have annuity provisions included, such as most 401(k) or profit sharing plans. Participants who are married must name their spouse as the primary beneficiary unless the spouse gives written consent. That consent must be witnessed, either by a notary public or an authorized plan representative. A contingent beneficiary should also be named in the event that the primarybeneficiary pre-deceases the participant. |
41 KB | |
| Beneficiary Designation (Pension Plans) | This beneficiary designation form can be used for all pension plans. Participants who are married must name their spouse as the primary beneficiary unless the spouse gives written consent. That consent must be witnessed, either by a notary public or an authorized plan representative. A contingent beneficiary should also be named in the event that the primary beneficiary pre-deceases the participant. | 75 KB | |
| QDRO Checklist | This form secures that in the case of any Domestic Relations Order that is received by your plan, its status as a Qualified Domestic Relations Order (QDRO) will be determined under the procedures set out in your plan. | 17 KB | |
| Participant Data Change | This form is to be used by participants in order to change or correct their personal information. Only to be filled out in sections that contain information that is incorrect and needs to be changed. | 44 KB | |
| 401(k) Plan Design Questionnaire | This form is for advisors and clients to complete when establishing a new plan or restating an existing plan. | 51 KB | |
| 403(b) Plan Design Questionnaire | This form is for advisors and clients to complete when establishing a new plan or restating an existing plan. | 50 KB |
