Forms

This page is designed and continually being developed to provide you easy access to forms and other resources that will assist you with managing the duties associated with your qualified retirement plan.

Please note that not all types of contributions and withdrawals are allowed from all plans. Please check with your designated plan consultant at Retirement Strategies, LLC as to your plan’s availability. Completed forms should be mailed with the applicable processing fee to Retirement Strategies, LLC.

ENROLLMENT FORMS

• Salary Deferral Enrollment/Change Form: This form allows a participant to make an initial election or change the contribution percentage or amount deducted from their paycheck. To be used for plans that allow only pre-tax deferral contributions.
• ROTH Salary Deferral Enrollment/Change Form: This form allows a participant to make an initial election or change the contribution percentage or amount deducted from their paycheck. To be used for plans that allow both pre-tax and Roth deferral contributions.
• Beneficiary Designation Form: This form allows you to designate your primary and contingent beneficiaries. If your plan allows for Joint & Survivor Annuities, please contact your plan sponsor for the appropriate beneficiary form.
   

DISTRIBUTIONS FORMS

• Special Tax Notice Form: This form explains your options and tax consequences for plan distributions. Please read and review prior to requesting any plan distribution.
• Separation From Active Employment Request Form: This form is to be used for all termination of employment withdrawals, including retirement & disability.
• Hardship Withdrawal Request Form: This form is to be used for qualifying financial hardships. Qualifying events can be found on page 1 of the form. Documentation of financial hardship must accompany the paperwork. Not allowed in all plans – please check with your plan sponsor.
• Pre-Retirement or In-Service Withdrawal Request Form: This form allows participants who have attained a certain age (generally 59 ½) to take a distribution of a portion of their account balance prior to separating from service. Not allowed in all plans – please check with your plan sponsor.
• Request For Plan Loan Form: This form allows participants to obtain a loan from their current account balance and make loan payments through payroll deduction. Certain restrictions, interest rates and terms apply. Not allowed in all plans – please check with your plan sponsor.
• Deceased Participant Request for Distribution Form

OTHER FORMS AND DOCUMENTS

• Request For Proposal Form
• Retirement Plan Blackouts Notice Form: In July 2002, Congress passed the Sarbanes-Oxley Act in response to the collapse of Enron Corporation. The Act, among its many provisions, requires retirement plans to give participants notice if there will be a “blackout” – a temporary suspension of the rights of some or all participants in a plan to direct investments, receive distributions or receive loans (example of a “blackout” would be a change in investment providers). The blackout notice must be provided to the plan participants 30-60 days prior to the last date that they will be able to exercise their full rights under the plan.
• Sample Investment Policy Statement Form
• Plan Sponsor's Guide