Account Setup Forms

New Account Certifications Form

Use this form after a new account has been opened where your client will not be electronically signing our account opening documents.

New Client/Account Information Form

Use this form to gather account opening information for a client to input later into our online account opening process.

Supplementary Account Setup Forms

Beneficiary IRA Account Amendment Form

Use this form to convert a new IRA to a beneficiary IRA. To open a beneficiary IRA, first open an IRA Rollover or Roth IRA account online and then submit this form.

FINRA Member Approval Form

Use this form when you are opening a new account, or updating your settings if you, your spouse, or any other immediate family members, including parents, in-laws, and siblings that are dependents, employed by or associated with the securities industry (for example, investment advisor, sole proprietor, partner, officer, director, branch manager or broker at a broker-dealer firm or municipal securities dealer) or a financial regulatory agency, such as FINRA or the New York Stock Exchange, and this entity requires that you obtain its approval for you to open this account.

Jefferson National Monument Advisor Variable Annuity Service Guide

Use this guide to setup and link your client’s accounts for this reporting and billing service.

Kingdom Trust Fixed Income and Alternative Asset New Account Package

Use this package to open a new client account at Kingdom Trust to hold Fixed Income securities such as corporate, municipal and treasury bonds, and to hold alternative assets such as precious metals and real estate, none of which are currently available at Folio Institutional.

Qualified Retirement Plan Setup Form

Use this form to open new Qualified Plans (401(k) Plans).

SIMPLE IRA Employee Certification Form

Account holders use this form to complete the SIMPLE IRA (type 5304) account opening process.

SIMPLE IRA Employer Certification Form

Employers use this form to complete the SIMPLE IRA (type 5304) account opening process.

Account Servicing Forms

Account Transfer Form

Use this form to transfer assets held at another institution to your Folio Institutional account.

Account Transfer Letter of Authorization Form

Use this form for account transfers where the firm sending assets to Folio will not accept an electronic signature on the transfer request. We will provide the physical client signature on this form to the transferring firm so that they will process the transfer to us, the receiving firm.

Add/Edit Firm for Online Account Transfers

Use this form to add a firm, such as a bank, brokerage or mutual fund company, to the list of firms for online account transfers. You can also use this form to edit an existing firm and to add a clearing relationship to an existing firm.

Advisor Billing Plans and Firm Billing Settings Form

Use this form to create new advisory fee schedules or alter those currently existing for your firm.

Billing Upload Form

Use this form for any manual billing upload requests. Requests without this form will not be processed.

EFT Authorization Form

Use this form to set up an electronic funds transfer (EFT) link between an account owner’s domestic bank and their Folio Institutional account only in instances where the Folio account registration is not an exact match with the bank account registration. For example, use this form to establish an EFT link between a Folio Institutional joint account and an individual account at your bank. In all other cases, please set up the EFT link online.

Internal Account Transfer Form

Use this form to transfer cash and/or securities between existing Folio Institutional accounts.

IRA Annual Fee Check Deposit Form

Use this form to send a check to pay the annual Retirement Account Fee, instead of paying it from funds in the retirement account.

IRA Beneficiary Designation Form

Use this form to gather updated IRA beneficiary designations to input later into our online beneficiary designation screens, where your client will not be entering this information online.

IRA Distribution Form

Use this form to request distributions from your IRA account and to close an IRA.

IRA Rollover Certification Form

Use this form to certify a rollover distribution from your a current traditional IRA, or Roth IRA, or an eligible Qualified Retirement Plan distribution that you are depositing into a Folio Institutional IRA, when you have received a physical check from a qualified retirement plan.

Jefferson National Annuity Linking Request

Use this form to link Monument Advisor policy information to Folio Institutional for annuity reporting.

Jefferson National Customer Billing Agreement

Use this form to have your client authorize Folio Institutional to debit the designated Folio Institutional account for amounts due to pay for services for the specified Jefferson National Account.

Jefferson National Firm Billing Agreement

Use this form to provide advisory fee billing instructions to Folio Institutional for assets held with Jefferson National.

Kingdom Trust Billing Terms Form

Use this form to set the terms for billing client accounts held at Kingdom Trust.

Taxable Account Beneficiary Designation Form – Transfer on Death

Use this form to designate beneficiaries who will become the owner of the account on the death of the last surviving account owner for Individual, Joint Rights of Survivorship, Joint Tenants by Entirety, and Joint Community Property accounts.

Trustee Certification Form

Use this form to change the primary trustee, name a successor primary trustee, and/or remove a trustee on your Folio Institutional account.

W9 Form

Use this form to update the name on an account that is associated with a Taxpayer Identification Number (TIN) after a marriage or divorce, or to request a correction to the TIN on an account.

Reference Documents

Customer Agreement

This Agreement sets forth the basic relationship between us and each client, including the custodial terms of an Individual Retirement Account (IRA), a Roth Individual Retirement Account (Roth IRA) and SIMPLE Individual Retirement Account (type 5304). Clients sign this agreement when they first open an account, an IRA, Roth IRA or SIMPLE Individual Retirement Account (type 5304) and agree to the current version of this document as it may be updated or amended every time they log into their account online.