Forms

What you'll find on this page:

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Open an IRA or Solo(k)

Open an IRA Account Open a Solo(k) Plan

IRA Application Kit
Use this form to open a traditional, rollover, Roth, SEP-IRA, Beneficiary IRA or Beneficiary Roth IRA
If you are new to PENSCO, you'll need to register to use the online application
Apply Online

 
Download

Solo(k) Plan Establishment Kit
Download

In addition to the kit, the following 5 forms are required. Depending on the document, you are required to retain for your records either the original or a copy of these documents. Refer to Part One of the Kit for details.

  1. Solo(k) Adoption Agreement Download

  2. Solo(k) Plan Document (56 printed pages) Download

  3. PPA (Pension Protection Act) Amendment Kit Download

  4. HEART Amendment Kit Download

  5. IRS Letter 4333 (Opinion Letter) Download
Form 5305-SEP
Required IRS form when opening a SEP-IRA
Download		  
IRA Primary Beneficiary Form
Download		  
IRA Secondary Beneficiary Form
Download		  

Open a Custodial Account or Coverdell Education Savings Account (ESA)

Open a Custodial or Coverdell Education Savings Account (ESA)

Custodial Account Application Kit
Use this form to open a Custodial or Coverdell Education Savings Account
Download

Form 5305-EA
Required IRS form when opening a Coverdell Education Savings Account
Download

Fund your existing IRA or Solo(k)

For information about what funding methods are available to you and how long funding may take, see Funding Methods and Timelines.

Fund Your Existing IRA Fund Your Existing Solo(k)

IRA Transfer/Rollover Kit
Use this form:

  • for transferring cash from one IRA to a like IRA - i.e., IRA to IRA, SEP to SEP, Roth to Roth. The receiving custodian (PENSCO Trust) requests the funds from the current custodian on behalf of the account holder using this form
  • for transferring any assets "in kind" (i.e., not liquidating and transferring as cash)
  • when rolling cash directly from a non-IRA account to a PENSCO IRA. A direct rollover is the direct movement of funds from an eligible plan (such as a 401(k) plan, profit sharing plan, etc.) into an IRA
  • for 60-day cash rollovers
  • for rolling any assets "in kind" (i.e., not selling assets and rolling over cash) directly from an eligible non-IRA account to an IRA
  • for Roth IRA conversion - use this form to fund a PENSCO Roth IRA via funds from a non-Roth account

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Solo(k) Rollover
Use this form to certify a Direct Rollover from a previous employer's plan or a 60-Day Rollover of funds from an IRA to a PENSCO Solo(k)
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In-Kind Transfer / Rollover Requirements Kit
Use these lists of requirements when transferring existing assets to PENSCO "in-kind" (i.e., not liquidating them and transferring as cash) from another custodian).
Download		 Solo(k) Contribution
Make a new contribution to a PENSCO Solo(k)
Download
  Solo(k) In-House Rollover
This form is for consolidating PENSCO IRAs and SEP-IRAs into your PENSCO Trust Solo(k)
Download

Make an investment in an IRA or Solo(k)

Make an IRA Investment Make a Solo(K) Investment

IRA Private Investment Kit (Multi-Member, Non-Family Controlled)
See Private Placements Procedures for details
Download

Solo(k) Private Investment Kit (Multi-Member, Non-Family Controlled)
See Private Placements Procedures for details
Download

IRA Private Investment Kit (Single Member or Family-Controlled)

See Private Placements Procedures for details
Download

Solo(k) Private Investment Kit (Single Member or Family-Controlled)

See Private Placements Procedures for details
Download

IRA Real Estate Investment Kit

See Real Estate Procedures for details
Download

Solo(k) Real Estate Investment Kit

See Real Estate Procedures for details
Download

IRA Secured Note Investment Kit

See Secured Notes Procedures for details
Download

Solo(k) Secured Note Investment Kit

See Secured Notes Procedures for details
Download

IRA Unsecured Note Investment Kit

See Unsecured Notes Procedures for details
Download

Solo(k) Promissory (Unsecured) Note Investment Kit

See Unsecured Notes Procedures for details
Download

IRA Non-Public Investment Authorization

Download

Solo(k) Non-Public Investment Authorization

Download

IRA Public Investment Authorization

Make an investment in a publicly-traded asset or open a brokerage account in your IRA with this form.
Download

Solo(k) Public Investment Authorization

Make an investment in a publicly-traded asset or open a brokerage account in your Solo(k) with this form.
Download

Investment Funding Instructions

Include this form when submitting a Non-Public or Public Investment Authorization Form
Download

Investment Funding Instructions

Include this form when submitting a Non-Public or Public Investment Authorization Form
Download

Manage your account

Contributions / Deposits / Incoming Wire or ACH

Contribution/Deposit Form
Use this form when contributing funds to your account or when you're making an investment-related deposit.
Download

Incoming Wire Transfer / ACH Instructions
Instructions to send funds to a PENSCO account by wire or a one-time electronic funds transfer.
Download
Expense Payments / Distributions / Stop Payments

Expense Payment Form (individual investor use only)
Use this form when requesting PENSCO to pay an expense using the cash balance from your PENSCO account. Include supporting documents - invoice, bill, etc.
Download

Credit/Debit Card Payment Authorization
Authorize PENSCO to apply charges to a card or update your card information
Download

IRA Authorization for Distribution
Use this form to receive a distribution of funds from your IRA, whether it is a one-time partial distribution or to schedule a periodic distribution of funds. You may also use this form to take a full distribution of your assets, which will terminate your PENSCO IRA.

Do not use this form to instruct us to send funds to a third party (such as to pay for an expense, use the Expense Payment Form below).

If you intend to transfer funds to a third party custodian, please contact the custodian for a transfer request form.
Download

Roth IRA Authorization for Distribution
See above details about IRA Authorization Distribution Form.
Download

Stop Payment Authorization (individual investor use only)
Use this form when requesting to 'stop payment' on a check issued from your PENSCO account.
Download

ACH Debit Authorization
Set up electronic funds transfer between PENSCO and another institution.
Download

ACH Debit Instructions
Once set up, provide us with the details about the electronic funds transfer.
Download
Change Your Account Profile

Account Access Authorization
Update or change your Account's Designated Representative or Authorized Interested Party information. The signatures of both the accountholder and the representative are required.
Download

Contact Information
Download

Credit/Debit Card Payment Authorization
Authorize PENSCO to apply charges to a card or update your card information
Download
IRA Beneficiary Solo(k) Beneficiary

IRA Primary Beneficiary
Download

Solo(k) Primary Beneficiary
Download

IRA Secondary Beneficiary
Download

Solo(k) Secondary Beneficiary
Download

File a private investment (for use by investment sponsors only)

File a private investment (for use by investment sponsors only)

File a Private Investment Kit (Multi-Member, Non-Family Controlled)
For use by investment sponsors and not investors. If you're an investor, use the Make a Private Investment Kit.
Download

File a Private Investment Kit (Single Member or Family-Controlled)
For use by investment sponsors and not investors. If you're an investor, use the Make a Private Investment Kit.
Download

Fee schedules

IRA Solo(k)

IRA Fee Schedule (applies to Custodial and Coverdell ESA accounts)
Download

Solo(k) Fee Schedule
Download

Fax cover sheets

Fax Cover Sheet
To fax documents to any department at PENSCO.
Download

Join the Power Professional Directory

Power Professional Directory Application
For professionals who want to join the Power Professional Directory.
Download