Fillable Account Features Form (TD Ameritrade)

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Account Features Form (TD Ameritrade)

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  • 89 other fields

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ES_TDR_AF_081901 1119 — Page 1 of 6
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1
• Use this form to add, change, or delete an Automatic Investment Plan (AIP),
Electronic Fund Transfer (EFT), Systematic Withdrawal Program (SWP), Systematic
Exchange Program (SEP), and banking information to your TD Ameritrade 529 College
Savings Plan Account.
• Type in your information and print out the completed form, or print clearly, preferably
in capital letters and black ink. Mail the form to the address listed. Do not staple.
Forms can be downloaded from our website at
www.tdameritrade.com/collegesavings
,
or you can call us to order any form — or request assistance in completing this form — at
1.877.408.4644 any business day from 8 a.m. to 8 p.m. Central time.
1.
Current Account Owner information
Account Number(s) (To list more than 3 Accounts, use a separate sheet.)
Name of Account Owner (rst, middle initial, last)
Telephone Number (In case we have a question about your Account.)
2.
Features to add, update, or delete (Check all that apply.)
Automatic Investment Plan/Electronic Fund Transfer— Complete Section 3 and Section 4
Bank information — Section 4
Systematic Withdrawal Program — Section 5
Systematic Exchange Program — Section 6
TD Ameritrade 529 College Savings Plan
Account Features Form
TDA52904
1.877.408.4644
8 a.m. to 8 p.m. Central time M-F
www.tdameritrade.com/collegesavings
tdameritrade@NEST529.com
Regular mailing address:
TD Ameritrade 529 College Savings Plan
P.O. Box 30278
Omaha, NE 68103-1378
Overnight mailing address:
TD Ameritrade 529 College Savings Plan
920 Main Street, Suite 900
Kansas City, MO 64105
ES_TDR_AF_081901 1119 — Page 2 of 6
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2
3.
Automatic Investment Plan (AIP) / Electronic Fund Transfer (EFT)
• Complete this section to add, change, or delete an automatic investment from your bank account, or to add, change, or delete
contributions by electronic transfer from a bank.
• You can add, change, or delete an AIP and EFT by accessing your Account online at www.tdameritrade.com/collegesavings.
• Account Owners, and others can each contribute to a TD Ameritrade 529 College Savings Plan Account through AIP. To add additional
AIP instructions or multiple bank accounts, complete and include Section 3A and Section 4 for each.
• Contributions by AIP or EFT will be unavailable for distribution for 5 business days.
• Your transfer will be allocated according to the existing allocation percentages.
A. AIP. You can transfer money from your bank account to the TD Ameritrade 529 College Savings Plan Account on a set schedule.
(Check all that apply.)
Add this option to my Account. (Provide the information below and in Section 4.)
Change my investment amount, frequency, and/or debit date. (Provide the new amount and/or debit date below.)
Note: If you wish to skip a scheduled AIP, please call 1.877.408.4644.
Change my bank account information. (Provide the information in Section 4.)
Delete this option.
Amount of Debit: $50 $100 $150 $250 Other
00
$
, .
Amount
Frequency (Check one.): Monthly Quarterly OR Custom
(Every three months.) (Check the months below that you would
like your AIP to occur.)
January February March April May June
July August September October November December
Day of Month:*
* The TD Ameritrade 529 College Savings Plan must receive instructions at least 3 business days prior to the day of the month
specied; otherwise, debits from your bank account will begin the following month on the day specied. Please review your
quarterly statements for details of these transactions. If the date is not specied, this option will begin the month following the
receipt of this request,on the 10th day of the month.
Annual Increase. You may increase your AIP contribution automatically on an annual basis. Your contribution will be
adjusted each year in the month that you specify by the amount indicated.
Amount of increase:
00
$
, .
Month**:
** The month in which your AIP contribution will be increased. The rst increase will occur at the rst instance of the month selected.
B. EFT. Add, change, or delete bank information for future electronic transfers. We will keep your bank instructions on le for future
EFT contributions. You can transfer funds from your bank account to your TD Ameritrade 529 College Savings Plan Account at any
time simply by calling us, or by requesting a transfer online. The Plan may place a limit on the total dollar amount per day you may
contribute to an account by EFT.
Add Delete Change my bank account information (Provide the information in Section 4.)
ES_TDR_AF_081901 1119 — Page 3 of 6
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4.
Bank information
• Complete this section if you are adding an AIP or EFT option to your Account or if you are changing your bank account information.
• AIP and EFT can be made only through accounts held by a U.S. bank, savings and loan association, or credit union that is a member of
the Automated Clearing House (ACH) network. Money market mutual funds and cash management accounts offered through non-bank
nancial companies cannot be used.
Important: Please check the box to conrm that your ACH transactions will not involve a bank or other nancial services company,
including any branch or ofce thereof, located outside the territorial jurisdiction of the United States.
Bank Name
Account Type:
Bank Routing Number Bank Account Number (Check One.) Checking Savings
Names on Bank Account
Name (rst, middle initial, last)
Name (rst, middle initial, last)
If you are not the bank account owner the named bank account owner(s) must authorize this AIP and/or EFT service by signing here:
SIGNATURE
Signature Date (mm/dd/yyyy)
SIGNATURE
Signature Date (mm/dd/yyyy)
Note: The routing number is usually located in the bottom left corner of your checks. You can also ask your bank for the routing number.
ES_TDR_AF_081901 1119 — Page 4 of 6
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4
5.
Systematic Withdrawal Program (SWP) (Optional)
• Complete this section to establish periodic withdrawals form your TD Ameritrade 529 College Savings Plan Account.
• SWPs can be established for Qualied Distributions only. We are required to le IRS Form 1099-Q annually for distributions taken from
your TD Ameritrade 529 College Savings Plan Account. You can have up to two SWPs on your Account.
• If the balance on the Investment Option is less than the SWP amount specied, the SWP instructions will be stopped.
Important: Your withdrawal will be held if a contribution is not on deposit for 5 business days, or 10 business days if the address to which
you have requested the withdrawal to be sent has changed, or if the Account Owner has been changed within 10 business days.
The withdrawal will be released when the specied waiting period has been satised.
A. Activate the SWP for my TD Ameritrade 529 College Savings Plan Account.
Frequency (Check one.): Monthly Quarterly Semi-Annually Annually
Start Date:*
Date (mm/dd/yyyy)
End Date (Optional):
Date (mm/dd/yyyy)
* The rst systematic withdrawal will occur on the start date indicated above if received within three business days of that date;
otherwise, the systematic withdrawal will begin the following month. The withdrawal date may occur from the rst day of a given
month through day 28 of that month. If the date falls on a weekend or holiday, it will be processed on the following business day.
I authorize the TD Ameritrade 529 College Savings Plan to withdraw from the following Investment Option(s)
,
00
$
, .
Investment Option Dollar Amount
,
00
$
, .
Investment Option Dollar Amount
,
00
$
, .
Investment Option Dollar Amount
B. SWP Recipient.
Account Owner (Address on record.)
Beneciary (Address on record.)
Eligible college or university (Provide school address below.)
Name of School (Complete only if the distribution is to be sent directly to the school.)
Department /Ofce/Contact Name
Beneciary’s Student ID
Mailing Address
City State Zip Code
ES_TDR_AF_081901 1119 — Page 5 of 6
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6.
Systematic Exchange Program (SEP) (Optional)
The Systematic Exchange Program allows you to exchange from one Investment Option to one or more other Investment Options within
your account on a pre-scheduled basis.
• To start a Systematic Exchange Program you must designate a minimum of $2,500 to be exchanged from one Investment Option to
one or more other Investment Options on a pre-scheduled basis. The Exchanged From Investment Option must have a minimum of
$2,500 in assets to start the Systematic Exchange.
• You must designate a minimum of $200 for each monthly or quarterly scheduled exchange.
• Creating a Systematic Exchange using money that is already invested in your Account will count toward your twice per calendar
year investment change limit.
• Creating a Systematic Exchange with new money contributed to your Account will NOT count toward your twice per calendar year
investment change limit. To start a Systematic Exchange using new money you must mail a contribution check with this completed
Form to the Plan.
• If you make any changes to or cancel an established Systematic Exchange Program it will count toward your twice per calendar
year investment change limit.
Account Number:
Beneficiary Name:
First Last
Frequency (Check one.): Monthly Quarterly (3 months from the start date)
Day of Month:*
*The rst systematic exchange will occur on the day of the month indicated above if received within 3 business days of that date;
otherwise, the systematic exchange will begin the following month. If a date is not specied, the exchange will take place on the 10th
day of the month.
Exchange From Investment Option:
Exchange To Investment Option per Exchange Period:
,
00
$
, .
Investment Option Dollar Amount ($200 Minimum)
,
00
$
, .
Investment Option Dollar Amount ($200 Minimum)
,
00
$
, .
Investment Option Dollar Amount ($200 Minimum)
Stop Type (Select one):
Stop Date:
Date (mm/dd/yyyy)
Exchange Amount:
00
$
, .
When Complete Balance of the “Exchange from” Investment Option is depleted.
By completing this section and signing this Form, I authorize the TD Ameritrade 529 College Savings Plan to process the periodic exchanges
as indicated. I understand that making changes to an established Systematic Exchange Program will count toward my twice per calendar
year investment option change limit.
,
ES_TDR_AF_081901 1119 — Page 6 of 6
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7.
Signature — YOU MUST SIGN BELOW
• I certify that I have read and understand, consent, and agree to all the terms and conditions of the TD Ameritrade 529 College Savings
Plan Program Disclosure Statement and Participation Agreement as they relate to adding, deleting, or changing nancial features.
• By signing below, I authorize the Program Manager or its designee to add, delete, or change nancial features according to the
instructions above.
• If I have added or changed banking information in Section 4, I certify that I have authority to transact on the bank account so
indicated or that the account owners of such bank account have authorized me to institute this AIP and/or EFT service from their
account on their behalf.
• If the Account is owned by an entity or trust, I certify that I am authorized to act on its behalf in making this request. If the Account
is a minor-owned Account or is funded with UGMA/UTMA assets, I further certify that I am the parent/guardian/custodian of the
Account identied in Section 1.
• I certify that the information provided herein is true and complete in all respects. I understand that all changes made on this form
supersede all my previous designations.
• If I have chosen the AIP or EFT option, I authorize the Program Manager and its designees, upon telephone or online request, to
pay amounts representing redemptions made by me or to secure payment of amounts invested by me, by initiating credit or debit
entries to my account at the bank named in Section 4. I authorize the bank to accept any such credits or debits to my account
without responsibility to their correctness. I acknowledge that the origination of ACH transactions involving my bank account must
comply with U.S. law. I further agree that neither the Nebraska Educational Savings Plan Trust, the TD Ameritrade 529 College
Savings Plan, the State of Nebraska, the Nebraska State Treasurer, nor the Program Manager or its authorized agents or any of
their afliates, or TD Ameritrade, TD Ameritrade Investment Management, LLC or their authorized agents or afliates will not incur
any loss, liability, cost, or expense for acting upon my telephone or online request. I understand that this authorization may be
terminated by me at any time by notifying the Program Manager and the bank by telephone or in writing, and that the termination
request will be effective as soon as the Program Manager and the bank have had a reasonable amount of time to act upon it. I
certify that I have authority to transact on the bank account identied by me in Section 4.
SIGNATURE
Signature of Account Owner Date (mm/dd/yyyy)
Securities Products: Not FDIC Insured - No Bank Guarantee - May Lose Value
Nebraska Educational Savings Plan Trust, Issuer. First National Capital Markets, Inc.,
Distributor, Member FINRA, SIPC. TD Ameritrade, Inc., sub-administrator. TD Ameritrade
Investment Management, LLC, portfolio consultant. First National Capital Markets and
First National Bank of Omaha are afliates.
TD Ameritrade, Inc. renders certain marketing and administrative services to the TD
Ameritrade 529 College Savings Plan. TD Ameritrade Investment Management, LLC
renders portfolio consulting services to First National Bank of Omaha and the Nebraska
Investment Council. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP
Company, Inc. and the Toronto-Dominion Bank. All rights reserved. Used with Permission.
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Account Features Form (TD Ameritrade)

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Completed 20 September 2020

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