Forms Library

Required forms

• Standard AAP Application

Optional forms

• Request to Transfer Assets (Non-IRA)
  Please include copy of current statement with the Transfer Form
• Transfer on Death - Individual Account
• Transfer on Death - Joint Account
  TOD Designations are not available for Custodial UGMA / UTMA account registrations

Required forms

• Standard AAP Application

Supplemental documents

• Corporate Resolution
  To be submitted with Business Account Registrations

Optional forms

• Request to Transfer Assets (Non-IRA)
  Please include copy of current statement with the Transfer Form

Entities or Trusts require additional documentation. For example: Articles of Incorporation, Partnership Agreements, trust documents, etc.

Required forms

• Traditional IRA Application
• Standard AAP Application

Optional forms

• IRA Transfer of Assets/Conversion of Assets
  Please include copy of current IRA statement with Transfer Form
• IRA Rollover Review Form
  Use for 60-day rollovers

Required forms

• Roth IRA Application
• Standard AAP Application

Optional forms

• IRA Transfer of Assets/Conversion of Assets
  Please include copy of current IRA statement with Transfer Form
• Roth IRA Rollover Review Form
  Use for 60-day rollovers

IRA application includes Dunham Trust Company as Custodian

Required forms

• Traditional Beneficiary IRA Application
• Standard AAP Application

Optional forms

• IRA Transfer of Assets/Conversion of Assets
  Please include copy of current IRA statement with Transfer Form
• IRA Rollover Review Form
  Use for 60-day rollovers

IRA application includes Dunham Trust Company as Custodian

Required forms

• Roth Beneficiary IRA Application
• Standard AAP Application

Optional forms

• IRA Transfer of Assets/Conversion of Assets
  Please include copy of current IRA statement with Transfer Form
• Roth IRA Rollover Review Form
  Use for 60-day rollovers

IRA application includes Dunham Trust Company as Custodian

Required forms for employees

• SEP IRA Application Package
  Employer and Employee (participant) must complete Form 5305-SEP (included in the package)
• Standard AAP Application

Optional forms

• IRA Transfer of Assets/Conversion of Assets
  Please include copy of current IRA statement with Transfer Form
• IRA Rollover Review Form
  Use for 60-day rollovers

SEP IRA Application includes Dunham Trust Company as Custodian

Required forms for employees

• SIMPLE IRA Application
  Employer and Employee (participant) must complete Form 5305-SEP (included in the package)
• Standard AAP Application

Required forms for employers

• Company Profile Form for Simple IRA Plans and Form 5305-Simple
  Use this form if you are an employer establishing a new SIMPLE IRA Plan with Dunham & Associates Investment Counsel, Inc. or Dunham Trust Company, collectively “Dunham”. If you are a sponsoring employer of a current SIMPLE IRA Plan held at Dunham, you do not need to complete this form unless you have a material update to the plan or payment method.

Optional forms

• IRA Transfer of Assets/Conversion of Assets
  Please include copy of current IRA statement with Transfer Form
• IRA Rollover Review Form
  Use for 60-day rollovers

SIMPLE IRA Application includes Dunham Trust Company as Custodian