Information updates and investment management changes can be made online by logging in to your account. The forms and documents below may be used as an alternative, and mailed to the address listed on the form.
| Form / Document | Description | Requirement |
|---|---|---|
Account Application Form  |
Use this form to open a new account. |
This form requires Social Security Numbers for Account Owner and Designated Beneficiary, a residential mailing address for the Account Owner, and W-9 Certification with the Account Owner signature. See the Offering Statement for details. |
| Account Features Form |
Use this form to add, update or delete:
|
To qualify for a reduced sales charge you must meet eligibility requirements. This form requires the Account Owner signature. See the Offering Statement |
| Account Information Change Form |
Use this form to update your:
Use this form to change:
|
For name changes, we require a notarized signature guarantee of your old signature and new signature by an authorized officer of a bank, broker or other qualified financial institution, or you may provide a certified copy of the appropriate legal documents establishing your name change. A notarized signature guarantee is also required for changing the owner on the account. |
| Payroll Direct Deposit |
Use this form to add, change or delete Payroll Direct Deposit instructions for your account. |
Complete and mail in this form. In turn, you will receive a Payroll Direct Deposit Confirmation Form, which you must sign and submit to your employer's payroll department. Your Payroll Direct Deposit instructions will not take effect until your employer has accepted your signed form. |
| Designated Beneficiary Change |
Transfer all or part of the balance in the Account of your current Designated Beneficiary to a new Designated Beneficiary |
A list of eligible beneficiaries may be found in the Offering Statement |
| Distribution Request Form |
Use this form to request a full or partial, qualified or non-qualified distribution from your account. |
Submit and sign a form for each type of distribution you are requesting (qualified or non-qualified). We are required to file an IRS Form 1099-Q for distributions from your account during the calendar year. |
| Incoming Rollover/Transfer |
Use this form to initiate a direct rollover from:
|
If you do not have an existing account with the SMART529 program, please Open an Account online or complete and mail a new Account Application form. |
| Agent Authorization/ Limited Power of Attorney |
Use this form for adding a Registered Investment Advisor (RIA) and adding Trading Authority to this account. Unless authorized, SMART529 limits access to information on any account as well as the ability to make discretionary transactions to the Account Owner and employees of the Program Manager and its affiliates. |
Select the Authorization Level you wish the RIA to have and sign the form under the witness of a Notary. |
| Agent Certification Form |
Use this form if you are an agent pursuant to an existing Power-of-Attorney document, and you would like to be added as an agent to SMART529 Account(s). |
Note: This form must be notarized and submitted along with a copy of the Power-of-Attorney document to complete this request. |
| Offering Statement |
Follow this link to obtain a pdf of the most recent Offering Statement for this plan. The Offering Statement provides descriptions of the underlying funds, risks and considerations, and the participation agreement. |
|
| Trustee Certification Form |
Please complete this form in its entirety if:
|
Note: All trust information must reflect the same information listed on the application. This form cannot be used as an application supplement. |
| Direct Rollover Out to Roth IRA Form |
Use this form to initiate a direct rollover of assets from your SMART529 Account to an existing Roth IRA account established for the benefit of the Beneficiary. |
In order to avoid federal income tax or penalties, please ensure you meet the following requirements prior to submitting the form:
|
| Power of Attorney Form |
Designate an individual, who is not subject to an existing Power-of-Attorney, as your agent, with complete authority to act on your SMART529 account(s) |
This form must be signed by the account owner and designated agent. It must also be notarized. |