Fillable Enrollment Form TD Ameritrade 529 College Savings Plan (TD Ameritrade)

Fill Online, Printable, Fillable, Blank Enrollment Form TD Ameritrade 529 College Savings Plan (TD Ameritrade) Form

Use Fill to complete blank online TD AMERITRADE pdf forms for free. Once completed you can sign your fillable form or send for signing. All forms are printable and downloadable.

Enrollment Form TD Ameritrade 529 College Savings Plan (TD Ameritrade)

On average this form takes 54 minutes to complete

The Enrollment Form TD Ameritrade 529 College Savings Plan (TD Ameritrade) form is 16 pages long and contains:

  • 0 signatures
  • 22 check-boxes
  • 205 other fields

Country of origin: US
File type: PDF

Use our library of forms to quickly fill and sign your TD Ameritrade forms online.

BROWSE TD AMERITRADE FORMS

Related forms
Fill has a huge library of thousands of forms all set up to be filled in easily and signed.
Fill in your chosen form
Sign the form using our drawing tool
Send to someone else to fill in and sign.
find another form
 
1
ES_TDR_EN_081901 1119 — Page 1 of 12
DO NOT STAPLE
TD Ameritrade 529 College Savings Plan
Enrollment Form
1.
Account type
Individual Account. I am opening a new TD Ameritrade 529 College Savings Plan Account.
UGMA/UTMA Account. I am opening an UGMA/UTMA account with assets liquidated from an UGMA/UTMA custodial account.
I am aware that this may be a taxable event. The minor will be the Account Owner and Beneciary. Enter Custodian information in
Section 4. (Custodian may not be eligible for tax advantages offered by his or her home state for contributions made to UGMA/UTMA
Accounts, check with your home state for eligibility rules. Custodians of an UGMA or UTMA account where the custodian is the parent
or guardian of the beneciary of an UGMA or UTMA account, that contribute to the Plan and le a Nebraska state income tax return are
generally allowed to deduct their contributions from their gross income for Nebraska state income tax purposes, up to certain limits.)
Indicate the state (please abbreviate) in which the UGMA/UTMA custodial account was opened.
Business Entity/Trust Account/Scholarship/Non-Profit. I am opening this Account as a corporation, partnership, association,
estate, or trust. (You must include documentary evidence. Please enclose supporting documents substantiating the status of the
Business Entity/Trust Account, and the authorization of the establishment of the authorized signer. We may also request additional
information from you.) Enter Individual Authorized to Act information in Section 4.
DO NOT CHECK THE BOX BELOW unless you have called the Plan at 1-877-408-4644 and have received pre-authorization and
instructions to open this type of account.
Minor-Owned Account – Due to the Death of an Existing Account Owner. The minor will be the Account Owner and
Beneficiary. Enter Parent/Guardian information in Section4. (Parent/Guardian may not be eligible for tax advantages offered by
his or her home state for contributions made to Minor-Owned Accounts, check with your home state for eligibility rules. Parent/
Guardian of a Minor-Owned Account type is Not eligible to deduct their contributions from their gross income for Nebraska state
income tax purposes.)
IMPORTANT INFORMATION ABOUT OPENING A NEW ACCOUNT.
We are required by federal law to obtain from each person who opens an Account
certain personal information — including name, street address, and date of birth,
among other information — that will be used to verify their identity. If you do not
provide us with this information, we will not be able to open your Account. If we are
unable to verify your identity, we reserve the right to close your Account or take other
steps we deem reasonable.
• Use this form to open a new Account for a Beneficiary.
• Investors should consider before investing whether their or their beneficiary’s home
state offers any state tax or other state benefits such as financial aid, scholarship
funds, and protection from creditors that are only available for investments in such
state’s qualified tuition program and should consult their tax advisor, attorney and/
or other advisor regarding their specific legal, investment or tax situation.
• You must provide all information except where optional is indicated.
• 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 mailing address
listed. Do not staple.
• You can enroll online at www.tdameritrade.com/collegesavings.
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.
TDA52902
Promo Code (optional)
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
2
ES_TDR_EN_081901 1119 — Page 2 of 12
DO NOT STAPLE
2.
Account Owner Information (The Account Owner is the person or entity who owns the Account. If a Minor-Owned or UGMA/
UTMA Account, enter Minor’s information in Section 2 and Section 3 and Custodian information in Section 4.)
Legal Name (First name) (m.i.)
Legal Name (Last name)
If the Account Owner is a Business Entity/Trust enter Business Entity/Trust name
Social Security or Taxpayer Identication Number (Required) Birth Date/Trust Date (mm/dd/yyyy)
Citizenship (If other than U.S. citizen, please indicate country of citizenship.)
Permanent Street Address (P.O. boxes are not acceptable.)
City State Zip Code
Account Mailing Address if different from above (This address will be used as the Account’s address of record for all Account mailings.)
City State Zip Code
Telephone Number (In case we have a question about your Account.)
Email Address
3.
Beneciary Information (The Beneciary is the future student.)
Legal Name (First name) (m.i.)
Legal Name (Last name)
Social Security or Taxpayer Identication Number (Required) Birth Date (mm/dd/yyyy)
Citizenship (If other than U.S. citizen, please indicate country of citizenship.)
Check if Beneciary’s address is the same as Account Owner, otherwise complete the following:
Mailing Address
City State Zip Code
Relationship of Account Owner to Beneficiary
Parent
Guardian
Grandparent
Friend
Self
Other
3
ES_TDR_EN_081901 1119 — Page 3 of 12
DO NOT STAPLE
4.
Individual Authorized to Act (If you are opening an Individual account as indicated in Section 1 - Account type do not
complete this section.)
An Individual Authorized to Act is required for entity or government accounts and when the Account Owner is a minor. The Individual
Authorized to Act is the person who can transact on the Account until the minor reaches the age of majority in his or her state of
residence. The Individual Authorized to Act’s address will be used as the Account’s address of record and for all Account mailings.
Custodian of UGMA/UTMA Account
Trustee of Trust (Include letter of authorization.)
Corporate Ofcer or Governmental Agent
Parent/Guardian if a Minor-Owned Account
Agent or Attorney-in-fact (Include a Power of Attorney Form.)
Individual Authorized to Act Legal Name (First name) (m.i.)
Individual Authorized to Act Legal Name (Last name)
Social Security or Taxpayer Identication Number Birth Date (mm/dd/yyyy)
Citizenship (If other than U.S. citizen, please indicate country of citizenship.)
Check if address is the same as Account Owner, otherwise complete the following:
Permanent Street Address (P.O. boxes are not acceptable.)
City State Zip Code
Account Mailing Address if different from above (This address will be used as the Account’s address of record for all Account mailings.)
City State Zip Code
Telephone Number (In case we have a question about your Account.)
Email Address
4
ES_TDR_EN_081901 1119 — Page 4 of 12
DO NOT STAPLE
5.
Successor Account Owner information (Optional)
• As the Account Owner, you may designate a Successor Account owner to take control of the Account in the event of your death or
legal incapacity.
• The person you designate as a Successor Account Owner cannot be a minor.
• A Successor Account Owner is not permitted on a Minor-Owned or UGMA/UTMA Account.
• You may revoke or change your designation later by completing the appropriate form. See the TD Ameritrade 529 College Savings
Plan Program Disclosure Statement and Participation Agreement for more information.
• If a Successor Account Owner is not designated on an Individual account, the Beneciary becomes the Account Owner upon the
death or legal incapacity of the account owner.
Legal Name (First name)/or Trust name (m.i.)
Legal Name (Last name)/or remaining Trust name
Mailing Address
City State Zip Code
Birth Date or Trust Date (mm/dd/yyyy)
6.
Interested party information (Optional)
Complete this section if you want to add an individual as an interested party to the Account. An interested party will be able to call
the Plan, receive information verbally about the Account, and receive quarterly statements. An interested party will not be allowed to
make changes to the account or request transactions.
Name
Mailing Address
City State Zip Code
Telephone Number
Relationship to Account Owner.
Compliance
Family Member
Other
5
ES_TDR_EN_081901 1119 — Page 5 of 12
DO NOT STAPLE
7.
Investment Option selection
• Before choosing your Investment Option(s), please read the Program Disclosure Statement (available at www.tdameritrade.com/
collegesavings) for complete information about the Investment Options.
• Please select one or more Investment Options from the choices below. If you choose one Investment Option please indicate 100%
next to that option. If you choose more than one Investment Option please indicate the percentage amount of the contribution you
would like invested into each of the selected Investment Options.
• Use whole percentages only.
• Your total Investment Option percentages must equal 100%.
Age-Based Investment Options: The asset allocation of contributions to Age-Based Investment Options are automatically adjusted
over time to become more conservative as the Beneciary approaches college.
Age-Based Core
%
Age-Based Socially Aware
%
Static Investment Options: Allocations to underlying funds remain the same over the life of your investment.
Core Aggressive
%
Core Growth
%
Core Moderate Growth
%
Core Moderate
%
Core Conservative
%
Socially Aware Aggressive
%
Socially Aware Growth
%
Socially Aware Moderate Growth
%
Socially Aware Moderate
%
Socially Aware Conservative
%
Individual Investment Options: Allocations to underlying funds remain the same over the life of your investment.
DFA World ex-US Government Fixed Income
%
Goldman Sachs Financial Square
SM
Government Money Market
%
iShares Core S&P Small-Cap ETF
%
MetWest Total Return Bond
%
State Street MSCI
®
ACWI ex USA Index
%
State Street S&P 500
®
Index
%
T. Rowe Price Large-Cap Growth
%
Vanguard Emerging Markets Stock Index
%
Vanguard Equity Income
%
Vanguard Extended Market Index
%
Vanguard Real Estate Index
%
Vanguard Russell 1000 Value Index
%
Vanguard Russell 2000 Growth Index
%
Vanguard Short-Term Bond Index
%
Vanguard Short-Term Ination-Protected Index
%
Vanguard Total Bond Market Index
%
Vanguard Total Stock Market Index
%
Total
%
001
6
ES_TDR_EN_081901 1119 — Page 6 of 12
DO NOT STAPLE
8.
Contribution Method
• Your initial contribution can come from several sources combined, but you must check at least one source. If you combine sources, check
the appropriate box for each source and write in the contribution amount for each.
• Contributions by any source (except payroll direct deposit) will not be available for withdrawal for 5 business days.
Source of funds (Check all that apply.)
A.
Personal check.
Important: All checks must be payable to TD Ameritrade 529 College Savings Plan.
$
, .
Amount
B.
Rollover from another 529 plan, Education Savings Account (ESA), or qualified U.S. Savings Bond to a TD Ameritrade
529 College Savings Plan Account. Complete and include an Incoming Rollover Form, available online at
www.tdameritrade.com/collegesavings or by calling 1.877.408.4644. By law, rollovers between 529 plans for the same
Beneciary are permitted only once every 12 months.
$
, .
Amount
C.
Indirect Rollover. A check is included from another 529 plan, ESA, or U.S. Savings Bond that was redeemed within the last 60 days.
You must provide an account statement from your former account or IRS form 1099-INT or 1099-Q showing the contribution and
earnings portion of the redemption. If these forms are not provided, the entire amount will be treated as earnings.
$
, .
$
, .
$
, .
Amount of Rollover Principal (Basis) Earnings
D. Automatic Investment Plan (AIP). You can have a set amount automatically transferred from your bank, savings and loan, or credit
union account monthly or quarterly, or you can choose the months in which you would like your AIP to occur. Money will be transferred
electronically based on the frequency you select into your TD Ameritrade 529 College Savings Plan Account. You may change the
investment amount and frequency at any time by logging onto your Account at www.tdameritrade.com/collegesavings or by calling
1.877.408.4644. Account Owners, family members, and friends can all contribute to a TD Ameritrade 529 College Savings Plan Account
through AIP. To add additional AIP instructions or multiple bank accounts, attach a separate sheet with the information requested in
Sections 8D and 8F for each additional AIP instruction or bank account.
Important: To set up this option, you must provide bank information in Section 8F.
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.
7
ES_TDR_EN_081901 1119 — Page 7 of 12
DO NOT STAPLE
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.
E.
Electronic Fund Transfer (EFT). Through EFT, you can make a contribution online or by phone whenever you want by transferring
money from your bank account. We will keep your bank instructions on le for future EFT contributions. To set this up, you must
provide bank information in Section 8F. The Plan may place a limit on the total dollar amount per day you may contribute to an
account by EFT. (The amount below will be a one-time EFT contribution to open your Account.)
$
, .
Amount
F. Bank information. Required to establish the AIP or EFT service.
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)
G. Payroll Direct Deposit. If you want to make contributions to your TD Ameritrade 529 College Savings Plan Account directly as
a Payroll Direct Deposit, you must contact your employer’s payroll ofce to verify that you can participate. Payroll Direct Deposit
contributions will not be made to your TD Ameritrade 529 College Savings Plan Account until you have received a Payroll Direct
Deposit Confirmation Form from TD Ameritrade 529 College Savings Plan, provided your signature and Social Security number
or taxpayer identication number on the Form, and submitted the Form to your employer’s payroll ofce. The amount you indicate
below will be in addition to Payroll Direct Deposits that you may have previously established for other TD Ameritrade 529 College
Savings Plan Accounts.
Amount of Payroll Direct Deposit each pay period:
00
$
, .
8
ES_TDR_EN_081901 1119 — Page 8 of 12
DO NOT STAPLE
9.
Systematic Exchange Program (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 section must have a
minimum of $2,500 in assets to start the Systematic Exchange Program.
• Your entire initial deposit does not need to be included in the Systematic Exchange Program.
• You must designate a minimum of $200 for each monthly or quarterly scheduled exchange.
• Creating a Systematic Exchange at the time of enrollment will NOT count toward your twice per calendar year investment change
limit. To start a Systematic Exchange at the time of enrollment you must mail a contribution check with this completed Form to the Plan.
• If you make any changes to or cancel an established Systemic Exchange Program it will count toward your twice per calendar year
investment change limit.
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 three 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)
When total amount of Exchanges equal:
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.
9
ES_TDR_EN_081901 1119 — Page 9 of 12
DO NOT STAPLE
10.
Signature — YOU MUST SIGN BELOW
• By signing below, I hereby acknowledge that I have received, read, and that by signing this form agree to the terms and conditions of
the Program Disclosure Statement and Participation Agreement which governs all aspects of this Account and is incorporated herein
by reference. I will retain a copy of each for my records.
• I certify that all of the information I have provided on this form is accurate and complete and that I am bound by the terms, rights,
and responsibilities stated in the Program Disclosure Statement and Participation Agreement and this form, and by any and all
statutory, administrative and operating procedures that govern the TD Ameritrade 529 College Savings Plan. Except as set forth
below, I understand that the Program Disclosure Statement and Participation Agreement, and Enrollment Form and any subsequent
forms signed by me, constitute the entire agreement between me and the Nebraska Educational Savings Plan Trust (Trust). No
person is authorized to make an oral modication to this agreement.
• I understand investments in the TD Ameritrade 529 College Savings Plan are not guaranteed or insured by the FDIC or any other
government agency, and are not deposits or other obligations of any depository institution. Investments are not guaranteed or
insured by the State of Nebraska, the Nebraska State Treasurer, the Nebraska Investment Council, First National Bank of Omaha,
TD Ameritrade, TD Ameritrade Investment Management, LLC, or their authorized agents or afliates, and are subject to investment
risks, including loss of the principal amount invested.
• I understand that participation in the TD Ameritrade 529 College Savings Plan does not guarantee that contributions and the
investment return on contributions, if any, will be adequate to cover tuition and other higher education expenses or that a
Beneciary will be admitted to or permitted to continue to attend an Eligible Educational Institution.
• I intend to use my Account solely to pay the qualied higher education expenses of the Beneciary.
• If this new account is being opened because a former account owner is deceased or legally incapacitated and I had been designated
the Successor Account Owner on that account, by signing below I certify that I am not aware of any adverse claim of ownership
or court order relating to the ownership of this Account and I agree to hold harmless the 529 Parties from any third party claims
relating to the transfer of ownership to you.
• If I am rolling over assets from another 529 Plan, by signing below I certify that there has not been a rollover for this Beneciary
during the prior 12-month period. I further understand that moving assets among the same Account Owner and Beneciary Account
that are in any 529 Plan issued by the Trust will count toward my permitted twice per calendar year Investment Option change limit
and I certify that more than one Investment Option change has not occurred during the calendar year.
• 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 8F. 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 the 529 Parties 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 8F 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.
• To the best of my knowledge, each contribution to my Account, when added to the value of all other accounts established for the
same Beneciary in 529 plans issued by the Trust will not cause the aggregate balances in such accounts to exceed the Maximum
Contribution Limit then in effect or the cost in current dollars of qualied higher education expenses that I reasonably anticipate the
Beneciary will incur.
• If the Account is minor-owned or is funded with UGMA/UTMA assets, I certify that I am of legal age in my state of residence, I am
the parent/guardian/custodian of the Account, and that I am authorized to open the Account, and I am not aware of any adverse
claim of ownership or court order relating to this account, and I agree to hold harmless the 529 Parties from any third party claims
relating to my actions.
• 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 and that I am
authorized to open an Account for the Beneciary named in Section 3. I agree to promptly inform the Program Manager in the event
that any of the foregoing certications becomes untrue. I understand and acknowledge that the Program Manager has the right to
terminate the entity’s participation in the Program if it has reasonable grounds to believe that any of the foregoing certications
is untrue.
SIGNATURE
Signature of Account Owner Date (mm/dd/yyyy)
10
ES_TDR_EN_081901 1119 — Page 10 of 12
DO NOT STAPLE
11.
Beneciary Information
11. Additional Information (Optional)
How did you hear about the TD Ameritrade 529 College Savings Plan? (Select One.)
Internet Magazine/Newspaper News Report Presentation
Radio Beneciary’s School Community Event Family/Friends
Financial Advisor Social Media Other
Educational level (Select One.)
Select the highest level of education you, the Account Owner, have completed.
High School Degree College Degree Post Graduate Degree Other
Annual Household Income (Select One.)
Less than $25,000 $25,000–$49,999 $50,000–$74,999 $75,000–$100,000
More than $100,000
TD Ameritrade does not provide tax advice. It is suggested that investors seek the advice
of your tax-planning professional with regard to your personal circumstances.
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.
11
ES_TDR_EN_081901 1119 — Page 11 of 12
DO NOT STAPLE
[PAGE LEFT BLANK INTENTIONALLY]
12
ES_TDR_EN_081901 1119 — Page 12 of 12
DO NOT STAPLE
[PAGE LEFT BLANK INTENTIONALLY]
Download
Save PDF to desktop
Email
Email completed PDF
Send for Signing
Email for others to sign
Print
Print document
Choose a Field
Click on a field and
select the person that should complete it
Want to add a signature?
You can add a signature field
and assign it to someone else
to sign
Choose a Field
Click on a field and
select the person that should complete it

Enrollment Form TD Ameritrade 529 College Savings Plan (TD Ameritrade)

This document is locked as it has been sent for signing.

You have successfully completed this document.

Other parties need to complete fields in the document. You will recieve an email notification when the document has been completed by all parties.

This document has been signed by all parties.

Completed 20 September 2020

Message

View Audit Log
Print With Audit Log
Duplicate Document