Getting Started

These are the forms that are most commonly used when opening a new account. If you don’t see what you need here, please visit the All Forms page to find the correct form.

1.       To open an account, use the Account Application form

2.       To designate beneficiaries, use the Beneficiary Designation form.

3.      To fund your account from an:

A. Existing IRA – Use the Transfer Authorization form.

B. Existing 401(k) or other Qualified Retirement Plan – Contact your current Plan Administrator and ask them to initiate the rollover.

C. Contribution or Indirect Rollover – Use the Account Application form and include the contribution/rollover check.

4.       To authorize another individual to discuss your account, use the Representative Authorization form.

5.       To place an investment, use the Investment Authorization form.

Please upload or fax the completed forms, as well as a legible copy of a government issued ID to or to 845-947-1212 (fax).