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Note: Please be sure to review the information on the Welcome Page before proceeding with this step

Client Information Form

As the administrator of your Solo 401k plan, it is important that you know all the fiduciary responsibilities to maintain your plan in compliance. Please watch the video below to learn more about your fiduciary responsibilities before proceeding.

Please watch this before proceeding!

Congratulations on your decision to establish Solo 401k Plan with checkbook control!

In order for us to continue with your application please complete the steps below:

1. Review Terms & Conditions.

2. Complete Client Information Form below. Fields marked with “*” are required to be completed. This questionnaire is designed to collect the information required to establish your Qualified Plan.  Please complete the questionnaire as accurately as possible. Failure to do so will delay the establishment process.

    • IMPORTANT: Please note that you must complete the Client Form in its entirety. If you leave blank one of the required fields and click “Submit” – the form will not be submitted and you will have to start all over.  There is no way to save the form that is partially completed. Please double check your answer before submitting.
    • BUSINESS CODE: You will be asked to provide the six-digit business code for your business.  You can access the list of business codes HERE (pages 9-11). Pick the six-digit code that best matches the business activity of your adopting business entity.
    • Business EIN: We will need the EIN for your business in order to create the plan documents.  If you are a sole proprietor and are currently using your Social Security Number for your tax ID, please obtain an EIN for your sole proprietorship.  The EIN for your business can be obtained HERE.  If you have just started your business, you can select “Started a new business” as the reason for applying. If you have already operated your sole proprietorship for awhile under your Social Security Number, you can select “Banking Purposes” as the reason for applying.  Please contact us for help, if needed.

3. Be prepared to provide your Social Security number to your Account Manager over the phone.  

    • SSN: Your SSN is needed in order to obtain an EIN for your Solo 401k Trust.

4. Submit Required Documents:

    • Retirement account statement(s) – Please send a copy of the most recent statement from the retirement account(s) you intend to transfer into your new Solo 401k plan. Documents can be emailed to:

Your Account Manager will be in touch with you within one day of submitting the form.

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