Fillable Organization Resolution Form (New York's 529 Advisor-Guided College Savings Program)

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Organization Resolution Form (New York's 529 Advisor-Guided College Savings Program)

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CSNYA_FRM_01189V 0215 — Page 1 of 4
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New York’s 529 Advisor-Guided College Savings Program
Organization Resolution Form
• Complete a separate form for each Account Owner for whom the organization serves as an agent. This form should accompany an
Enrollment Application if no Account is established.
• This form identifies the officers or other persons who are authorized to conduct transactions on the New York’s 529 Advisor-Guided College
Savings Program (“Advisor-Guided Plan” or “Plan”) Account(s) on behalf of an organization.
• Organizations covered by this form include: corporations; partnerships; limited liability companies or partnerships; professional corporations or
associations; endowments; business trusts; estates; non-profits; state/local government scholarships; and other entities or organizations.
• This form requires the signature of two authorized persons from your organization, one of whom must be the secretary or other authorized
person who can certify the names of those authorized to access and transact on an Advisor-Guided Plan Account. If your organization has
only one authorized signatory, then a bank officer, practicing attorney or member of a domestic stock exchange must countersign this form.
• This resolution remains in effect until we have been notified in writing that it has been revoked or a new Organization Resolution Form
has been submitted. You must file a new Organization Resolution Form when there is any change in the identity of the persons authorized
to act on behalf of your organization.
• 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 below. Do not staple.
Forms can be downloaded from our website at www.ny529advisor.com, or you can call us to order any form — or request assistance in
completing this form — at 1.800.774.2108, Monday – Friday 8 a.m. to 7 p.m. Eastern time.
1. Organization information
Name of Organization
Address
City State Zip Code
Firm Tax ID Number
Return this form and any other required documents to:
New York’s 529 Advisor-Guided College Savings Program
P.O. Box 55498
Boston, MA 02205-5498
For overnight delivery or registered mail, send to:
New York’s 529 Advisor-Guided College Savings Program
95 Wells Avenue, Suite 155
Newton, MA 02459
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CSNYA_FRM_01189V 0215 — Page 2 of 4
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2. Agent for the Advisor-Guided Plan Account Owner (Complete only if the organization is acting as agent for the Advisor-
Guided Plan Account Owner.)
A. Account Owner information (Do not include agent information here; provide as indicated in Section 2b.)
Name (first, middle initial, last)
Mailing Address
City State Zip Code
Social Security Number or Taxpayer Identification Number
B. Agent’s authorized persons
• Any one of the persons listed in this Section 2b is authorized to act on behalf of the organization, pursuant to the organization’s
authority as an agent in accordance with a Durable Power of Attorney Form filed with the Plan previously or at the same time
as this form, with respect to the Account Owner identified in Section 2a.
• The organization acknowledges that the persons identified in this Section 2b are authorized to act only with respect to the
specified Plan Accounts owned by the Account Owner identified in Section 2a on which the organization has been authorized as
an agent. The organization further acknowledges that it must file separate Organization Resolutions for each additional Account
Owner for whom the organization serves as an agent.
• The organization acknowledges that it is solely responsible for informing the Plan of any changes in the authority or identity
of the persons listed in this Section 2b, and that the Plan is not responsible for any acts or omissions taken in regard to any
instructions believed to have originated from any person identified in this Section 2b until the Plan has received written notice of
the revocation of such person’s authority and the Plan has had a reasonable period of time to act upon such notice.
• If the organization has more Authorized Persons than can be completed in the space below, please include a separate sheet that
provides the name and title of each Authorized Person.
Name(s) of Agent’s Authorized Persons
Name of Authorized Person (first, middle initial, last) and Title
Name of Authorized Person (first, middle initial, last) and Title
Name of Authorized Person (first, middle initial, last) and Title
Name of Authorized Person (first, middle initial, last) and Title
Name of Authorized Person (first, middle initial, last) and Title
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CSNYA_FRM_01189V 0215 — Page 3 of 4
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C. Certification and Indemnification (Two authorized signatories must sign below if the organization is acting as an agent for
another Account Owner.)
We, and (names), the duly authorized
and (titles), respectively, of the organization identified in Section 1, hereby certify the following:
That each of the authorized persons listed in Section 2b is authorized to act on behalf of the organization to the extent of the
authority granted the organization in a Durable Power of Attorney Form filed for the Advisor-Guided Plan Account Owner
identified in Section 2a.
The organization agrees to indemnify and hold harmless the New York’s 529 Advisor-Guided College Savings Program, The State
of New York, Ascensus Broker Dealer Services, the plan officials (as defined in the Disclosure Booklet) and their respective agents,
and employees, from and against all losses, claims, and expenses (including attorney’s fees) of any kind incurred by any of them for
relying in good faith upon information provided in this resolution and for acting on instructions believed by any of them to have
originated from any authorized person identified in Section 2b. This resolution remains in full force and effect until revoked by an
authorized signatory of the organization. Each Organization Resolution Form filed with Ascensus Broker Dealer Services revokes
an Organization Resolution Form previously filed with Ascensus Broker Dealer Services in its entirety. Any revocation will
not affect any liability resulting from transactions initiated before the Plan has had a reasonable amount of time to act upon the
revocation.
We are authorized and directed to certify the above and confirm that these provisions conform to the charter or other organizing
document of our organization.
3. Signature — YOU MUST SIGN BELOW
I certify that I have read and understand, consent, and agree to all the terms and conditions of the Disclosure Booklet and Tuition
Savings Agreement of New York’s 529 Advisor-Guided College Savings Program.
SIGNATURE
Name of Authorized Signatory Date (mm/dd/yyyy)
Title
SIGNATURE
Name of Authorized Signatory Date (mm/dd/yyyy)
Title
Third Party Certification — Required if your organization has only one authorized signatory
I certify that the person who signed above is the duly authorized signatory of the organization identified in Section 1.
SIGNATURE
Signature of Bank Officer, Practicing Attorney, or Member of a Domestic Stock Exchange Date (mm/dd/yyyy)
Name of Bank Officer, Practicing Attorney, or Member of a Domestic Stock Exchange (first, middle initial, last) and Title
529-F-ORGRES 0315
Print Name of Bank or Firm
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CSNYA_FRM_01189V 0215 — Page 4 of 4
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Organization Resolution Form (New York's 529 Advisor-Guided College Savings Program)

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Completed 16 May 2021

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