Recommendation and Attestation Form Rollovers, Transfers and Changes to Account Type Completed Form Examples and Samples
Explore practical examples and samples of the Recommendation and Attestation Form for Rollovers, Transfers and Changes to Account Type. Learn how to accurately complete this regulatory document with our detailed walkthroughs.
Automated Processing of a Recommendation and Attestation Form for Rollovers
How this form was filled:
This example demonstrates how an AI agent extracts specific financial data from an unstructured client consultation email to complete a complex regulatory 'Recommendation and Attestation Form for Rollovers, Transfers and Changes to Account Type'. The AI identifies key details such as account types, employment status, and investment preferences directly from the prose of the client's message.
Source document used: Client Consultation Email
Dear Financial Advisor, I hope this email finds you well. I am currently reviewing my retirement portfolio and have decided to proceed with rolling over my old 401(k) from my former employer, Apex Logistics Inc. Since I am no longer employed there and have since moved into a consulting role, I have decided to consolidate my assets. I have attached my latest quarterly statement and my 404(a)(5) fee disclosure for your review, though I do not have a formal Form 5500. Regarding my needs, I am very interested in ongoing individual account monitoring and I place a high priority on having a professional help me with financial planning. I am not planning to retire for at least another 15 years, so I am looking for a long-term strategy. I have reviewed the tax considerations and the potential loss of creditor protection in an IRA versus my current plan, but given my desire for greater investment control, I am comfortable proceeding with a transfer to a new IRA account. Please let me know if you need any further documentation before we finalize the transfer on February 15, 2026. My full legal name is Jonathan D. Sterling. Thank you for your guidance.
Information used to fill out the document:
- Investor Name: Jonathan D. Sterling
- Current Account: 401(k)
- Plan Sponsor: Apex Logistics Inc.
- Employment Status: No Longer Employed by Plan Sponsor
- Provided Documents: Quarterly Statement, 404(a)(5) Disclosure
- Key Priorities: Ongoing account monitoring, Financial planning
- Desired Action: Rollover to IRA
- Target Date: February 15, 2026
What this filled form sample shows:
- Contextual extraction of retirement plan details from natural language
- Mapping unstructured status updates to regulatory checkboxes
- Identification of supporting documentation provided in attachments
- Synthesizing investor priorities for complex suitability fields
Form specifications and details:
| Form Name: | Recommendation and Attestation Form - Rollovers, Transfers and Changes to Account Type |
| Compliance Standard: | SEC Best Interest / FINRA Rule 2111 |
| Document Scope: | Employer-sponsored plan to IRA conversion |
| Use Case: | Financial Services Compliance Automation |
| Categories: | account transfer forms, rollover forms, transfer forms |
| Created: | May 25, 2026 07:57 PM |