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Retirement
Name Audience FINRA Delivery Date
Beneficiary Designation Checklist Investor Approved View 07/12/16
Change of Beneficiary Designation Form and Instructions Investor Approved View 10/13/16 Add to Cart
Portfolio Builder Application 403(b)(7) SEP and SIMPLE IRA Investor Approved 08/09/16 Add to Cart
Retirement Brochure Investor Approved View 08/21/15 Add to Cart
Retirement Plan Limits Flyer Investor Approved View 11/03/16 Add to Cart
Retirement Services Guide to Fee Disclosure Investor Approved View 01/30/14 Add to Cart
Social Security Brochure Investor Approved View 06/22/16 Add to Cart
IRA
Traditional IRA
Name Audience FINRA Delivery Date
IRA Account Application & Materials Investor Approved 01/09/17 Add to Cart
IRA Choices Investor Guide Investor Approved View 04/17/17 Add to Cart
IRA Conversion and Recharacterization Request Form and Guide Investor Approved 01/30/14 Add to Cart
IRA Distribution Booklet Investor Approved 02/11/16 Add to Cart
IRA Excess Removal Form Investor Approved 01/30/14
IRA Minor Indemnification Form Investor Approved 01/30/14
IRA Transfer Request Form Investor Approved 12/22/16 Add to Cart
IRA Trust Agreement and Disclosure Statement Investor Approved 08/05/16 Add to Cart
IRA Trust Certification Form Investor Approved 03/04/16
Inherited IRA Account Registration & Distribution Form Investor Approved 05/05/16 Add to Cart
Payroll Deduction IRA Employer Flyer Investor Approved View 01/30/14 Add to Cart
Payroll Deduction IRA Participant Guide Investor Approved View 05/14/14 Add to Cart
Retirement and Tax Planning Reference Guide Investor Approved View 05/02/17 Add to Cart
Traditional IRA Fast Facts Investor Approved View 03/03/17 Add to Cart
Roth IRA
Name Audience FINRA Delivery Date
IRA Account Application & Materials Investor Approved 01/09/17 Add to Cart
IRA Excess Removal Form Investor Approved 01/30/14
Roth IRA Excess Removal Form Investor Approved 01/30/14
Roth IRA Fast Facts Investor Approved View 03/01/17 Add to Cart
403(b)
Name Audience FINRA Delivery Date
403(b) Custodial Agreement Investor Approved 12/15/16 Add to Cart
403(b) Distribution Form Investor Approved View 09/30/15 Add to Cart
403(b) Employee Account Application Guide Investor Approved View 01/06/17 Add to Cart
403(b) Employer Fact Sheet Investor Approved View 08/26/16 Add to Cart
403(b) Employer Plan Application Guide Investor Approved View 09/29/15 Add to Cart
403(b) Excess Removal Form Investor Approved 01/30/14 Add to Cart
403(b) Information Sharing Agreement Investor Approved 01/30/14 Add to Cart
403(b) Non-ERISA Plan Document - Religious Organizations Investor Approved 03/04/16
403(b) Plan Document (non-ERISA 501(c)(3)) Investor Approved 01/30/14
403(b) Plan Document (non-ERISA K-12) Investor Approved 03/07/16
403(b) Plan Service Provider Agreement Investor Approved 01/30/14 Add to Cart
403(b) Portfolio Builder Contract Exchange Form Investor Approved 09/09/15 Add to Cart
403(b)(7) Contract Exchange Transfer Rollover Form Investor Approved 12/20/16
403(b)(7) Mistaken Contribution Acknowledgement Investor Approved 03/04/16
403(b)(7) and Single K Defaulted Loan Repayment Application Investor Approved 03/08/16 Add to Cart
403(b)(7) and Single K Loan Application Investor Approved 09/11/15 Add to Cart
403(b)(7) and Single K Loan Transfer Form Investor Approved 03/08/16 Add to Cart
501(c)(3) Non-ERISA 403(b) Data Collection Form Investor Approved 03/04/16
501(c)(3) Non-ERISA 403(b) Financial Hardship Request Form Investor Approved 01/30/14 Add to Cart
501(c)(3) Non-ERISA 403(b) Plan Service Provider Agreement Investor Approved 01/30/14
Summary of Plan and Individual Expenses Investor Approved 12/20/16
Small Business
Single K
Name Audience FINRA Delivery Date
403(b)(7) and Single K Loan Application Investor Approved 09/11/15 Add to Cart
Single K A Guide for Owner Only Businesses Investor Approved View 05/27/16 Add to Cart
Single K Account Establishment Kit Investor Approved 01/26/17 Add to Cart
Single K Excess Removal Form Investor Approved 01/30/14 Add to Cart
Single K Fast Facts Investor Approved View 05/19/17 Add to Cart
Single K Summary Plan Description Investor Approved 03/30/15 Add to Cart
Single K and Profit Sharing Designation of Beneficiary or Change Form Investor Approved 11/23/16
Single K and Profit Sharing Trusteed Plans Distribution Forms Investor Approved 02/08/17
Single K, Profit Sharing Transfer Form Investor Approved 12/01/16
Summary of Plan and Individual Expenses Investor Approved 12/20/16
Profit Sharing-Qualified Plans
Name Audience FINRA Delivery Date
Profit Sharing Non-Trusteed Plan Establishment Kit Investor Approved 12/08/14
Profit Sharing Trusteed Plan Establishment Kit Investor Approved 01/27/17
Single K, Profit Sharing Transfer Form Investor Approved 12/01/16
SEP-SIMPLE
Name Audience FINRA Delivery Date
Portfolio Builder SIMPLE IRA Transfer Request Form Investor Approved 08/05/16 Add to Cart
SARSEP IRA Excess Removal Form Investor Approved 02/25/14
SEP IRA Employer Fact Sheet Investor Approved 07/05/16 Add to Cart
SEP IRA Employer Guide Investor Approved View 09/04/15 Add to Cart
SEP IRA Excess Removal Form Investor Approved 03/05/14 Add to Cart
SEP IRA Participant Guide Investor Approved View 05/15/17 Add to Cart
SEP IRA and SARSEP IRA Disclosure Statement Investor Approved 12/15/16 Add to Cart
SEP IRA and SARSEP IRA Transfer Request Form Investor Approved 12/20/16
SIMPLE IRA Disclosure Statement and Trust Agreement Investor Approved 12/20/16 Add to Cart
SIMPLE IRA Employer Fact Sheet Investor Approved View 12/28/15 Add to Cart
SIMPLE IRA Employer Guide Investor Approved View 01/25/17 Add to Cart
SIMPLE IRA Excess Removal Form Investor Approved 03/06/14 Add to Cart
SIMPLE IRA Form 5304 Investor Approved 01/30/14 Add to Cart
SIMPLE IRA Participant Guide Investor Approved View 01/06/17 Add to Cart
SIMPLE IRA Transfer Request Form Investor Approved 12/16/16
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