Get Registered Investment Advisor Authorization Form - 401k.com

This guide provides clear, step-by-step instructions on how to effectively complete the Registered Investment Advisor Authorization Form - 401k.com online. Whether you are a participant, an investment advisor, or an employer, this comprehensive overview will help you navigate through the form's sections effortlessly.

Follow the steps to accurately complete the Authorization Form.

1. Click ‘Get Form’ button to obtain the form and open it for editing online.
2. Fill in Section 1: Identifying Information. Start with the participant's details including Social Security number or U.S. Tax ID, date of birth, first name, middle initial, last name, mailing address, city, state, zip, daytime phone, evening phone, and email address. Ensure that this information is printed clearly in all capital letters.
3. Continue filling Section 1B with Investment Advisor details. You will need to include the Registered Investment Advisor (RIA) Firm name and SEC number, along with the primary contact's name, mailing address, daytime phone, email address, and the social security or U.S. Tax ID number.
4. Complete Section 1C with Employer and Plan information. Provide the employer's name, mailing address, and associated retirement savings plan account numbers and types.
5. Proceed to Section 2: Participant Agreement. Review the Grant of Authority options and check 'Yes' or 'No' based on your preferences for account access, trading, and deduction of advisor fees.
6. In Section 2B, read through the conditions of the agreement carefully to ensure full understanding of each option selected in the previous step.
7. Collect the necessary signatures. If required, ensure the employer’s signature is obtained in Section 3 confirming authorization for the Investment Advisor and actions requested by the participant.
8. Finally, review the entire form for completeness and accuracy, ensuring all sections and fields are filled out correctly with the required signatures. Once confirmed, save the changes, and proceed to download, print, or share the form as needed.

Complete your forms online today to ensure a smooth process with your Registered Investment Advisor.