Forms and Applications

The following forms & applications pertain to Unit Investment Trust Accounts held at Consulate Investments If you don’t see the form or application you need, or if you have any questions, please contact us at 509-267-6632.

Send your application, along with any other required documents, to:

Regular mail

Consulate Investments 1126 S. Federal Hwy 307 Fort Lauderdale, FL 33316

   

Non Retirement Accounts
id Form Description Print Mail Fillin Online
1 New Account Application Used to establish many types of Consulate non-IRA accounts such as (individual) (joint tenant trust) (custodian) or corporate registrations. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32

IRA Accounts
id Form Description Print Mail Fillin Online
1 Inherited IRA Application Used by the beneficiary of a deceased IRA account owner to establish an Inherited IRA with Consulate. (Please note) if you are transferring from another custodian you may also need the IRA Transfer of Assets/Direct Rollover Request Form. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
2 IRA Application Used to establish a Consulate Traditional, Rollover, Roth or SEP IRA. Accounts can be funded with a check contribution (check should be included), ACH contribution or by transfer of assets/rollover from another custodian. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
3 SIMPLE IRA Employer Kit Used by the employer to establish a SIMPLE IRA Plan with Consulate (please note: this Kit, including the enclosed IRA Form 5304-SIMPLE, must be on file in order for employees to establish any SIMPLE IRA accounts with Consulate). Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
4 SIMPLE Plan Enrollment Kit Used by employees to establish a Consulate SIMPLE IRA account. (Please note: you may also need to provide the SIMPLE IRA Salary Reduction Agreement to your employer). Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32

All Other Accounts
id Form Description Print Mail Fillin Online
1 Automatic Investment Plan (AIP) Application Used to set up automatic investments in a Consulate account via electronic transfer from a checking or savings account. Transfers can be made monthly, quarterly, semi-annually or annually. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
2 Bank Instructions Application Used to provide checking or savings account information to make purchases non-systematic redemptions in a Consulate account. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
3 Change of Address Form Used to change the address or mailing address listed on your account. Can be used for any account type. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
4 Change of Broker/Dealer Used to add or change the broker/dealer listed on your account. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
5 Contribution Slip This form is used to make a contribution to any existing Consulate Direct account (retirement or non-retirement). Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
6 Power of Attorney Registration Form Used as a legal instrument to authorize one individual to act as Power of Attorney on a Consulate account. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
7 Systematic Exchange Application Used to set up the investment of a lump sum into one Consulate fund and then; on a monthly, quarterly, semiannual or annual basis, have fixed dollar amounts exchanged into as many as four other Consulate funds. $10,000 minimum investment. $50 minimum per systematic exchange. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32

Non Retirement Accounts
id Form Description Print Mail Fillin Online
1 Certificate of Incumbency Used to list persons authorized to enact transactions in a Consulate account for a non-incorporated entity over a 60-day time period. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
2 Change of Registration Used to complete a name change (marriage, divorce) or a transfer from an existing account to a new or different account at Consulate. Not to be used for Transfer on Death (TOD) or Power of Attorney (POA). Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
3 Corporate Resolution Filing Form Used to grant authority to a person or persons within an established company to sell or assign securities in a Consulate account. Valid for 6 months from date of certification Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
4 Cost Basis Change Request Form Use this form to change your cost basis calculation method (We recommend speaking with your tax preparer or financial advisor before making any change to your cost basis method). Access our frequently asked questions to understand more about Cost Basis calculations. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
5 Equity Conversion Plan (ECP) Application Used to set up allocation of dividends and capital gains distributions from a Consulate account to another fund, a special payee or a bank account Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
6 Redemption Request Form Used to request one-time (i.e. non-systematic) redemptions from non-retirement accounts (for IRAs, please use our IRA Distribution Request Form) Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
7 Systematic Withdrawal Plan (SWP) Application Used to set up systematic withdrawals from your Consulate account for distribution to the address of record, another Consulate account, special payee or bank account. $10,000 minimum beginning balance. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
8 Transfer on Death (TOD) Affidavit Must be completed by a beneficiary of a Consulate Transfer of Death account in order to transfer or redeem the account to their name. Also required is a certified copy of the death certificate and an inheritance tax waiver Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
9 Transfer on Death (TOD) Registration Form Used to document up to three beneficiaries and the percentage of assets to be transferred to each, upon the death of an owner of a Consulate account. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32

IRA Accounts
id Form Description Print Mail Fillin Online
1 Consulate SIMPLE IRA Salary Reduction Agreement Should be used in conjunction with the SIMPLE IRA Adoption Agreement to set up the payroll deductions to be contributed to a Consulate SIMPLE IRA account. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
2 IRA Change of Beneficiary Form Used to change the Primary and/or Contingent beneficiaries named on Consulate Traditional IRA, SEP IRA or Roth IRA accounts Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
3 IRA Distribution Request Form Used to request a distribution such as systematic withdrawals and required minimum distributions from a Consulate IRA account Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
4 IRA Rollover Certification Form Used to certify a rollover distribution from a Traditional IRA, Roth IRA or SEP IRA and for eligible distributions from 403(b), 401(k) or qualified retirement plans to a Consulate Funds IRA account. Rollovers must be completed within 60 days of distribution. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
5 IRA Transfer of Assets / Direct Rollover Request Form Used to transfer assets from an existing IRA to a Consulate Funds IRA. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
6 IRS Form 5305-SEP – Contribution Agreement This form is used to set up an Employer's contributions to an employees SEP IRA. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
7 Roth IRA Conversion Form Used to convert a Traditional IRA held at either Consulate or a different custodian to a Consulate Roth IRA. Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32

Other Forms
id Form Print Mail Fillin Online
1 403(b) Beneficiary Designation/Change Form Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
2 403(b) Distribution/Rollover Request Form Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
3 IRA Terms & Disclosure Document Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
4 IRS Form W-8BEN Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
5 IRS Form W-8BEN Instructions Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
6 IRS Form W9 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32
7 IRS Form W9 Instructions Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32 Adobe_PDF_file_icon_32x32