Recommendation and Attestation Form Rollovers, Transfers and Changes to Account Type Instructions

Check this box if asset allocation models are currently selected for the plan.

Check this box if asset allocation models are not currently selected for the plan.

Check this box if asset allocation models are selected for your IRA account.

Check this box if asset allocation models are not selected for your IRA account.

Check this box if asset allocation models are to be selected for the new employer plan.

Check this box if asset allocation models are not to be selected for the new employer plan.

Check this box if you want to set the priority level for asset allocation models to High.

Check this box if you want to set the priority level for asset allocation models to Medium.

Check this box if you want to set the priority level for asset allocation models to Low.

Check this box if no priority level is desired or applicable for asset allocation models.

Check this box if benchmarked data has been provided.

Check this box if benchmarked data has not been provided.

Check this box if beneficiary considerations are highly important for your retirement investor needs.

Check if guaranteed income or interest rate guarantees are a high priority for you when evaluating rollovers, transfers, or changes to account types.

Check this box if having a wide range of distribution options is of high importance to you.

Check this box if having control over account changes is highly important to you.

Check this box if consolidating your accounts is of high importance to you.

Check this box if creditor or legal protection is a high priority for you.

Check this box if you have a high desire to sever your relationship with your former employer. Fill only if 'No Longer Employed by Plan Sponsor' is 'Yes'.

Check this box if consolidation of accounts is not important to your retirement investor needs.

Check this box if creditor or legal protection is not a priority for you.

Check this box if you have no desire to sever your relationship with your former employer. Fill only if 'No Longer Employed by Plan Sponsor' is 'Yes'.

Check this box if you do not wish to work with a financial professional.

Check this box if the current plan or account best aligns with your beneficiary considerations needs. Fill only if 'None' is 'No'.

Check if the current plan or account best aligns with your guaranteed income or interest rate preferences. Fill only if 'Guaranteed Income or Interest Rate – No Importance' is 'No'.

Check this box if your current plan or account best aligns with your distribution options preferences. Fill only if 'None' is 'No'.

Check this box if creditor or legal protection is a low priority for you.

Check this box if you have a low desire to sever your relationship with your former employer. Fill only if 'No Longer Employed by Plan Sponsor' is 'Yes'.

Check this box if you have a low desire to work with a financial professional.

Check this box if beneficiary considerations are not important when deciding whether to roll over, transfer assets, or change account types.

Check if guaranteed income or interest rate guarantees are not a priority for you when evaluating rollovers, transfers, or changes to account types.

Check this box if distribution options are not important to you.

Check this box if the control of the account, pertaining to decisions on changing plans or IRA management, is not important to you.

Check this box to indicate that the current plan or account best aligns with your need for control of account preferences. Fill only if 'None' is 'No'.

Check this box if your current plan or account best supports your goal of consolidating accounts. Fill only if 'None' is 'No'.

Check this box if your current plan or account offers the desired level of creditor and/or legal protection. Fill only if 'Creditor or Legal Protection Preferences: None' is 'No'.

Check this box if the current plan or account best aligns with your desire to sever your relationship with your former employer. Fill only if 'None' is 'No'.

Check this box if your current plan or account best aligns with your desire to work with a financial professional. Fill only if 'Desire to Work with a Financial Professional – None' is 'No'.

Check this box if a new employer-sponsored plan best aligns with your beneficiary considerations needs. Fill only if 'None' is 'No'.

Check if the new plan employer best aligns with your guaranteed income or interest rate preferences. Fill only if 'Guaranteed Income or Interest Rate – No Importance' is 'No'.

Check this box if you are currently employed by the plan sponsor and anticipate retiring within a specified number of months. Fill only if 'IRA' is 'No'.

Check this box if you are no longer employed by the plan sponsor and have retired. Fill only if 'IRA' is 'No'.

Check this box if you are currently employed by the plan sponsor and do not plan to retire or leave your employer in the foreseeable future. Fill only if 'IRA' is 'No'.

Please enter the full name of the current plan. Fill only if '401(k)', '403(b) ERISA', '403(b) Non-ERISA', 'Pension/DB', '457', 'Other employer-sponsored plan' is 'Yes', any.

Please provide the full name of the retirement investor.

Check this box if your current retirement account type is a 401(k) plan.

Check this box if your current retirement account type is a 403(b) plan that is subject to ERISA.

Check this box if your current retirement account type is a 403(b) plan that is not subject to ERISA.

Check this box if your current retirement account type is a Pension or Defined Benefit (DB) plan.

Check this box if your current retirement account type is a 457 plan.

Check this box if your current retirement account type is an employer-sponsored plan not listed above.

Check this box if you decline to provide 404a-5 or similar data and acknowledge that your financial professional has explained the significance of this information and that benchmarked data, which is an estimate of fees/expenses, has been used instead. Fill only if 'Quarterly Statements - Not Provided', 'Annual Participant Fee Disclosure (404(a)(5)) - Not Provided', 'Summary Plan Description - Not Provided', 'Form 5500 data Not Provided', 'Not Provided' is 'Yes' for any.

Check this box if a new plan offered by your employer best aligns with your distribution options preferences. Fill only if 'None' is 'No'.

Check this box to indicate that a new plan employer best aligns with your need for control of account preferences. Fill only if 'None' is 'No'.

Check this box if a new employer-sponsored plan best supports your goal of consolidating accounts. Fill only if 'None' is 'No'.

Check this box if a new employer-sponsored plan best aligns with your need for creditor or legal protection. Fill only if 'Creditor or Legal Protection Preferences: None' is 'No'.

Check this box if you prefer to roll over your balance to a new plan offered by a new employer, as a way to sever your relationship with your former employer. Fill only if 'None' is 'No'.

Check this box if a new plan through your employer best aligns with your desire to work with a financial professional. Fill only if 'Desire to Work with a Financial Professional – None' is 'No'.

Check this box if an IRA or another new account type best aligns with your beneficiary considerations needs. Fill only if 'None' is 'No'.

Check if an IRA or new account type best aligns with your guaranteed income or interest rate preferences. Fill only if 'Guaranteed Income or Interest Rate – No Importance' is 'No'.

Check this box if an IRA or new account type best aligns with your distribution options preferences. Fill only if 'None' is 'No'.

Check this box to indicate that an IRA or new account type best aligns with your need for control of account preferences. Fill only if 'None' is 'No'.

Check this box if an IRA or other new account type best supports your goal of consolidating accounts. Fill only if 'None' is 'No'.

Check this box if an IRA or new account type best aligns with your need for creditor or legal protection. Fill only if 'Creditor or Legal Protection Preferences: None' is 'No'.

Check this box if an IRA or new account type best aligns with your desire to sever your relationship with your former employer. Fill only if 'None' is 'No'.

Check this box if an IRA or new account type best aligns with your needs, considering your desire to work with a financial professional. Fill only if 'Desire to Work with a Financial Professional – None' is 'No'.

Check this box if Discretionary Investment Management is included in the current plan selection.

Check this box if Discretionary Investment Management is not included in the current plan selection.

Check this box if the proposed IRA account should include discretionary investment management or managerial accounts.

Check this box if discretionary investment management or managerial accounts are NOT selected for the IRA account.

Check this box if discretionary investment management or managerial accounts are selected for the new employer plan.

Check this box if discretionary investment management or managerial accounts are not selected for the new employer plan.

Check this box if the priority level for Discretionary Investment Management or Managerial Accounts is high.

Check this box if the priority level for Discretionary Investment Management or Managerial Accounts is medium.

Check this box if the priority level for Discretionary Investment Management or Managerial Accounts is low.

Check this box if Discretionary Investment Management or Managerial Accounts have no assigned priority level.

Check this box if you have a medium desire to sever your relationship with your former employer. Fill only if 'No Longer Employed by Plan Sponsor' is 'Yes'.

Check this box if you have a medium desire to work with a financial professional.

Check this box if beneficiary considerations are of low importance when deciding whether to roll over, transfer assets, or change account types.

Check if guaranteed income or interest rate guarantees are a low priority for you when evaluating rollovers, transfers, or changes to account types.

Check this box if the availability of a wide range of distribution options is of low importance to you when considering plans or accounts.

Check this box if having control over account changes is of low importance to you.

Check this box if consolidating your accounts is of low importance to you.

Enter the administrative fees deducted from the current plan or account.

Enter the administrative fees deducted from the new employer plan type, if applicable.

Enter the administrative fees deducted from the IRA or new account type, if applicable.

Provide the investment advice or management fees for the current plan or account. Fill only if 'Ongoing investment advice: Yes', 'Yes' is 'Yes' for any.

Provide the investment advice or management fees for the new employer plan type, if applicable. Fill only if 'New Employer Plan - Ongoing Investment Advice: Yes', 'Yes' is 'Yes' for any.

Provide the investment advice or management fees for the IRA or new account type, if applicable. Fill only if 'Ongoing Investment Advice - IRA Account Yes', 'Discretionary investment management or managerial accounts (Proposed IRA) – Yes' is 'Yes' for any.

Enter the range of fees charged against investments for the current plan or account.

Enter the range of fees charged against investments for the new employer plan type, if applicable.

Enter the range of fees charged against investments for the IRA or new account type, if applicable.

Check this box if the Form 5500 data has been provided.

Check this box if the Form 5500 data has not been provided.

Check this box if you have a high desire to work with a financial professional.

Check this box if beneficiary considerations are of medium importance when deciding whether to roll over, transfer assets, or change account types.

Check this box if guaranteed income and/or guaranteed interest rate is of medium importance to your retirement investor needs.

Check this box if having a range of distribution options is of medium importance to you.

Check this box if having control over account changes is of medium importance to you.

Check this box if consolidating your accounts is of medium importance to you.

Check this box if creditor or legal protection is a medium priority for you.

Check this box if the investment options in your current plan are highly aligned with your retirement investor needs.

Check this box if the investment options in your current plan are moderately aligned with your retirement investor needs.

Check this box if the investment options in your current plan are lowly aligned with your retirement investor needs.

Check this box if the investment options for the IRA or New Account Type align highly with the retirement investor's needs.

Check this box if the investment options for the IRA or New Account Type align moderately with the retirement investor's needs.

Check this box if the investment options for the IRA or New Account Type align poorly or minimally with the retirement investor's needs.

Check this box if the alignment of investment options in the new employer plan to the retirement investor's needs is High. Fill only if 'Employed w/ New Employer' is 'Yes'.

Check this box if the alignment of investment options in the new employer plan to the retirement investor's needs is Medium. Fill only if 'Employed w/ New Employer' is 'Yes'.

Check this box if the alignment of investment options in the new employer plan to the retirement investor's needs is Low. Fill only if 'Employed w/ New Employer' is 'Yes'.

Check this box if you are providing the name of your current plan in the space provided.

Check this box if the name of the current plan is not applicable. Fill only if 'IRA (“Account”)' is 'Yes'.

Check this box if your current retirement account is an individual retirement account (IRA).

Please provide the name of the other employer-sponsored plan. Fill only if 'Other employer-sponsored plan' is 'Yes'.

Check this box if the Name of Plan Sponsor/Employer is not applicable. Fill only if 'IRA (“Account”)' is 'Yes'.

Check this box if ongoing individual account monitoring is considered Medium in alignment with Retirement Investor needs for the Current Plan or Account.

Check this box if ongoing individual account monitoring is considered Low in alignment with Retirement Investor needs for the Current Plan or Account.

Check this box if ongoing individual account monitoring is NOT desired for the New Employer Plan. Fill only if 'Employed w/ New Employer' is 'Yes'.

Check this box if ongoing individual account monitoring is NOT desired for the IRA or New Account Type.

Check this box if the retirement investor does not need ongoing individual account monitoring. Fill only if 'Employed w/ New Employer' is 'Yes'.

Check this box if ongoing individual account monitoring is not available in your current plan or account.

Check this box if there is a high retirement investor need for ongoing individual account monitoring.

Check this box if ongoing individual account monitoring is desired or applicable for the current plan or account.

Check this box if ongoing individual account monitoring is desired or applicable for the new employer plan, if applicable. Fill only if 'Employed w/ New Employer' is 'Yes'.

Check this box if ongoing individual account monitoring is desired or applicable for the IRA or new account type, if applicable.

Check this box if ongoing investment advice is selected for the current plan.

Check this box if ongoing investment advice is not selected for the current plan.

Check this box if ongoing investment advice is desired for the IRA account.

Check this box if ongoing investment advice is not desired for the IRA account.

Check this box if ongoing investment advice is selected for the new employer plan.

Check this box if ongoing investment advice is not selected for the new employer plan.

Check this box if the priority level for ongoing investment advice is high.

Check this box if the priority level for ongoing investment advice is medium.

Check this box if the priority level for ongoing investment advice is low.

Check this box if no priority level for ongoing investment advice is specified or applies.

Check this box if the account type covered is the current plan or an existing account.

Check this box if the account type covered is a new employer plan. Fill only if 'Employed w/ New Employer' is 'Yes'.

Check this box if the account type covered is an IRA or a new account type.

Please provide a detailed description of any other factors not previously mentioned that are beyond investments, services, and fees. Fill only if 'High', 'Medium', 'Low' is selected, any.

Check this box if the 'Other' factor described has a high level of importance.

Check this box if the 'Other' factor described has a medium level of importance.

Check this box if the 'Other' factor described has a low level of importance.

Check this box if the 'Other' factor described has no level of importance.

Please provide the full legal name of the plan sponsor or employer. Fill only if '401(k)', '403(b) ERISA', '403(b) Non-ERISA', 'Pension/DB', '457', 'Other employer-sponsored plan' is 'Yes', any.

Check this box if you are no longer employed by the plan sponsor but are now working for a new employer. Fill only if 'IRA' is 'No'.

Check this box if you are no longer employed by the plan sponsor and are not currently employed by any other employer. Fill only if 'IRA' is 'No'.

Please enter the number of months within which you plan to retire from your current employment. Fill only if 'Planning to retire within months' is 'Yes'.

Enter the client's signature.

Enter the date the client signed.

Enter the first financial professional's signature. Fill only if 'Remain invested in Current Plan', 'Rollover to new Employer Plan', 'Rollover from Plan to IRA', 'Rollover or transfer Account to new IRA', 'Rollover Account to Employer Plan', 'Change Account type' is 'Yes', any.

Enter the second financial professional's signature. Fill only if 'Remain invested in Current Plan', 'Rollover to new Employer Plan', 'Rollover from Plan to IRA', 'Rollover or transfer Account to new IRA', 'Rollover Account to Employer Plan', 'Change Account type' is 'Yes', any.

Enter the third financial professional's signature. Fill only if 'Remain invested in Current Plan', 'Rollover to new Employer Plan', 'Rollover from Plan to IRA', 'Rollover or transfer Account to new IRA', 'Rollover Account to Employer Plan', 'Change Account type' is 'Yes', any.

Enter the date the first financial professional signed. Fill only if 'Remain invested in Current Plan', 'Rollover to new Employer Plan', 'Rollover from Plan to IRA', 'Rollover or transfer Account to new IRA', 'Rollover Account to Employer Plan', 'Change Account type' is 'Yes', any.

Check this box if the recommendation is for the client to remain invested in their current plan. Fill only if 'Current Retirement Account Type' is a Plan

Check this box if the recommendation is to roll over to a new employer plan. Fill only if 'Current Retirement Account Type' is a Plan

Check this box if the recommendation is to roll over funds from a plan to an IRA. Fill only if 'Current Retirement Account Type' is a Plan

Check this box if the recommendation is to roll over or transfer the account to a new IRA. Fill only if 'Current Retirement Account Type' is an IRA

Check this box if the recommendation is to roll over the account to an employer plan. Fill only if 'Current Retirement Account Type' is an IRA

Check this box if the recommendation is to change the account type, such as from commission-based to fee-based.

Check this box if quarterly statements have been provided.

Check this box if quarterly statements have not been provided.

Check this box if the Annual Participant Fee Disclosure (404(a)(5)) has been provided for employer plans. Fill only if 'Current Retirement Account Type' is an employer-sponsored plan.

Check this box if the Annual Participant Fee Disclosure (404(a)(5)) has not been provided for employer plans. Fill only if 'Current Retirement Account Type' is an employer-sponsored plan.

Check this box if the Summary Plan Description has been provided for employer plans. Fill only if 'Current Retirement Account Type' is an employer-sponsored plan.

Check this box if the Summary Plan Description has not been provided for employer plans. Fill only if 'Current Retirement Account Type' is an employer-sponsored plan.

Check this box if your current plan or account includes retirement income and/or financial planning services.

Check this box if your current plan or account does not include retirement income and/or financial planning services.

Check this box if 'Retirement income and/or financial planning' applies to an IRA or New Account Type.

Check this box if 'Retirement income and/or financial planning' does not apply to an IRA or New Account Type.

Check this box if retirement income and/or financial planning services are selected or applicable for the new employer plan type.

Check this box if retirement income and/or financial planning services are not selected or not applicable for the new employer plan type.

Check this box if the priority level for Retirement Income and/or Financial Planning is High.

Check this box if the priority level for Retirement Income and/or Financial Planning is Medium.

Check this box if the priority level for Retirement Income and/or Financial Planning is Low.

Check this box if there is no priority level for Retirement Income and/or Financial Planning, or it is not applicable.

Enter a brief description for the first type of cost incurred due to the account rollover or transfer.

Enter a brief description for the second type of cost incurred due to the account rollover or transfer.

Enter a brief description for the third type of cost incurred due to the account rollover or transfer.

Provide a detailed description of all costs incurred as a result of the account rollover or transfer, such as surrender charges.

Please provide the date of the second financial professional's signature. Fill only if 'Remain invested in Current Plan', 'Rollover to new Employer Plan', 'Rollover from Plan to IRA', 'Rollover or transfer Account to new IRA', 'Rollover Account to Employer Plan', 'Change Account type' is 'Yes', any.

Check this box if tax considerations are of high importance when evaluating whether to roll over, transfer a plan account or IRA, or change account types.

Check this box if tax considerations are of medium importance when evaluating whether to roll over, transfer a plan account or IRA, or change account types.

Check this box if tax considerations are of low importance when evaluating whether to roll over, transfer a plan account or IRA, or change account types.

Check this box if tax considerations are of no importance when evaluating whether to roll over, transfer a plan account or IRA, or change account types.

Check this box if your current plan or account provides the best alignment to your tax consideration needs. Fill only if 'None' is 'No'.

Check this box if a new employer's plan provides the best alignment to your tax consideration needs. Fill only if 'None' is 'No'.

Check this box if an IRA or a new account type provides the best alignment to your tax consideration needs. Fill only if 'None' is 'No'.

Enter the date the third financial professional signed. Fill only if 'Remain invested in Current Plan', 'Rollover to new Employer Plan', 'Rollover from Plan to IRA', 'Rollover or transfer Account to new IRA', 'Rollover Account to Employer Plan', 'Change Account type' is 'Yes', any.