Forms

Account Applications - IRA

• Traditional or Roth IRA Application: Establish an Invesco traditional or Roth IRA with Invesco Trust Company (ITC) as custodian. Copies of the applicable custodial agreements and disclosure statements are included.
• Payroll Deduction IRA Employer Application: Authorize Invesco Investment Services Inc. (IIS) to establish a payroll deduction arrangement for your employees with an Invesco Traditional or Roth IRA.
• Payroll Deduction IRA Account Application: Establish an Invesco Traditional or Roth Payroll Deduction IRA with Invesco Trust Company (ITC) as custodian.
• SEP IRA Plan and Participant Establishment Kit: SEP IRA Plan and Participant Establishment Kit.
• SEP IRA Participant Application: Establish an Invesco SEP or SARSEP IRA with Invesco Trust Company (ITC) as custodian.
• SIMPLE IRA Plan Establishment Kit for Employers: SIMPLE IRA Plan Establishment Kit.
• SIMPLE IRA Participant Application: Establish an Invesco SIMPLE IRA participant account with Invesco Trust Company (ITC) as custodian.

Account Applications - 403(b)

• 403(b)(7) Employer Application: Authorize Invesco Investment Services, Inc. (IIS) to establish a non-ERISA 403(b)(7) plan.
• 403(b)(7) Participant Application: Establish an Invesco 403(b)(7) Custodial Account with Invesco Trust Company (ITC) as Custodian.
• 403(b) Plan Service Provider Agreement: 403(b) Employers who are not utilizing a Third Party Administrator (TPA) arrangement should use this form to establish a Plan Service Provider Agreement with Invesco Investment Services, Inc.

Account Applications - Solo 401(k)

• Solo 401(k) Plan Establishment Kit: Solo 401(k) Plan Establishment Kit.
• Invesco Solo 401(k) Participant Enrollment Form: Establish a participant account for the business owner (and spouse, if applicable) in an Invesco Solo 401(k) plan.

Account Applications – Qualified Plans (Investment Only)

• Omnibus Retirement Plan Application: Authorize Invesco Investment Services, Inc. (IIS) to establish a non-Invesco-sponsored omnibus qualified retirement plan.
• Qualified Retirement Plan Application: Authorize Invesco Investment Services, Inc. (IIS) to establish a non-Invesco-sponsored qualified retirement plan.
• Qualified Plan Participant Enrollment Form: Add a participant to an existing qualified retirement plan.

Account Transfer and Distribution Forms - IRA

• Retirement Account Transfer/Rollover Form: Transfer or rollover eligible retirement assets to an Invesco Traditional, Roth, SEP, SIMPLE, or SARSEP IRA, convert assets from another custodian to an Invesco Roth IRA, or to transfer a beneficiary IRA.
• Invesco Traditional or Roth IRA Recharacterization Form: Recharacterize current or prior year IRA contributions (Roth IRA to Traditional IRA or Traditional IRA to Roth IRA).
• Invesco IRA to Invesco Roth IRA Conversion Form: Convert assets from an existing Invesco Traditional, SEP, SIMPLE, or SARSEP IRA to an Invesco Roth IRA.
• IRA One-Time Distribution Form: Request a one-time distribution from your Invesco IRA.
• IRA Periodic Distribution Form: Request or update periodic distributions from your Invesco IRA.
• IRA Required Minimum Distribution Form: Request an RMD or change an existing periodic RMD from your Invesco IRA.
• Removal of Excess Contribution Form: Request the removal of an excess contribution and any attributable earnings from your Invesco IRA.
• IRA Beneficiary Transfer/Distribution Form: Request a transfer or distribution from a deceased account owner's IRA or a distribution from an existing beneficiary IRA.
• Substantially Equal Periodic Payments (SEPP) Distribution Form: Request or update a series of substantially equal periodic payments (SEPPs) from your Invesco retirement account.

Account Transfer and Distribution Forms - 403(b)/ORP

• 403(b)(7) Contract Exchange/Transfer/Rollover Form: Request a contract exchange, plan-to-plan transfer, or direct rollover to an Invesco 403(b)(7) custodial account.
• Invesco Solo 401(k) and 403(b)(7) Loan Application and Agreement: Request a loan from an Invesco Solo 401(k) or 403(b)(7) plan in accordance with the attached Loan Policy and Procedures.
• Optional Retirement Program (ORP) Distribution Form: Request a distribution from your Invesco ORP account.
• 403(b)(7) Distribution Form: Request a distribution from your Invesco 403(b)(7) account.
• 403(b)(7) AIG Financial Hardship Distribution Form: Request a financial hardship distribution from your Invesco 403(b)(7) where AIG Retirement Services is the Third Party Administrator (TPA).
• 403(b)(7) Non-ERISA Financial Hardship Distribution Form: Request a financial hardship distribution from your Invesco non-ERISA 403(b)(7) account. We recommend that you consult with a tax or financial advisor regarding the consequences of this transaction.
• 403(b)(7) Non-ERISA Plan Data Collection Form: Provide Invesco Investment Services, Inc. (IIS) the information necessary to determine if the participant indicated below is eligible for a distribution or loan from his or her 403(b) account.
• 403(b)(7) Beneficiary Transfer/Distribution Form: Request a transfer or distribution from a deceased participant's 403(b)(7) account.

Account Transfer and Distribution Forms – Solo 401(k)

• Invesco Solo 401(k)® Transfer/Rollover Form: Transfer or rollover eligible retirement assets to an Invesco Solo 401(k) account.
• Invesco Solo 401(k) and 403(b)(7) Loan Application and Agreement: Request a loan from an Invesco Solo 401(k) or 403(b)(7) plan in accordance with the attached Loan Policy and Procedures.
• Solo 401(k) Distribution Form: Request a distribution from a participant's Solo 401(k) account.
• Solo 401(k) Beneficiary Transfer/Distribution Form: Request a transfer or distribution from a deceased participant’s Solo 401(k) account.

Account Transfer and Distribution Forms – QP

• Qualified Retirement Plan Transfer/Rollover Form: Transfer or rollover eligible retirement assets to an existing qualified retirement plan at Invesco.
• Qualified Retirement Plan Distribution Form: Request a distribution from a non-Invesco-sponsored qualified retirement plan (401(k), profit sharing, or money purchase pension plan).
• Money Purchase Pension and Profit Sharing Plan Distribution Form: Request a distribution from your Invesco Money Purchase Pension (MPP) or Invesco Profit Sharing Plan (PSP).

Account Maintenance and General Forms

• Beneficiary Designation Form: Designate or modify the beneficiary(ies) on your Invesco IRA (including Traditional, Roth, SEP, SARSEP, and SIMPLE), 403(b) or Optional Retirement Program (ORP) account or an account with transfer on death (TOD) registration.
• IRA Account Options Form: Add or update eDelivery options, bank information, systematic purchase/exchange plan, or telephone privileges on your Invesco Traditional, Roth, SEP, SARSEP or SIMPLE IRA.
• Invesco Investment Allocation Change Form: Use this form to change future investment allocation percentages to an existing Invesco retirement plan account.
• Invesco Solo 401(k)® and 403(b)(7) Loan Repayment Change Form: Change the bank account information and/or loan repayment allocation on an existing Invesco Solo 401(k) or 403(b)(7) participant loan.
• Retirement Plan Bank Instruction and Systematic Contribution Form: Add bank instructions to a retirement plan and/or establish systematic retirement plan contributions via the Automated Clearing House (ACH) Network. This form is for employer use only.
• Change of Plan Administrator or Plan Trustee for Qualified Retirement Plans: Add or replace a trustee or plan administrator on your existing qualified retirement plan.
• SIMPLE IRA Initial Contribution Verification Form: Update or correct the date of initial contribution made by the employer indicated in section 1 into the participant's SIMPLE IRA account.
• Retirement Plan Manager Application: Establish or terminate a user's access to Invesco Retirement Plan Manager (RPM) or to add or update bank account information for RPM.
• Invesco Contribution Manager Access Form: Gain user access to Invesco Contribution Manager (ICM), terminate user access, and add or modify the bank account used for submitting contributions.
• Investment Instruction Form: Make additional investments to your existing Invesco account.
• Retirement Plan Transmittal Form: Submit retirement plan contributions.
• Invesco SEP IRA Transmittal Form: Submit SEP contribution instructions.
• Self-Certification for Late Rollover Contribution Form: Certify the reason(s) you were unable to complete a rollover within 60 days of receipt of the distribution.
• IRA Repayment and Postponed Contribution Form: Use this form to make a repayment of a qualified disaster recovery distribution, qualified birth or adoption distribution, emergency expense withdrawal, domestic abuse distribution, or terminal illness distribution to your Invesco IRA.

Forms – Employer Use Only (DO NOT SEND TO INVESCO)

• Payroll Deduction Election for IRA: Authorize your employer to establish, change or terminate a payroll deduction arrangement for your Invesco Traditional or Roth IRA.
• SIMPLE IRA Plan Salary Reduction Agreement: Establish or change your SIMPLE IRA salary reduction election.
• SARSEP IRA Enrollment and Salary Savings Agreement: Add, change, or withdraw participant salary deferral elections for SARSEP IRA plans established before 1997.
• SARSEP IRA Deferral Percentage Test: Determine the actual deferral percentage for non-highly compensated employees and calculate the maximum permissible deferral for each highly compensated employee.
• 403(b)(7) Plan Salary Reduction Agreement: Indicate salary reduction agreement amounts when no similar form is available from your employer.
• 403(b)(7) Maximum Contribution Worksheet: Determine the maximum amount you may contribute to your 403(b)(7) plan for the current year. We recommend you consult with a tax or financial advisor when completing this form.
• Invesco Solo 401(k) Beneficiary Designation Form: Designate a beneficiary(ies) on an Invesco Solo 401(k) participant account.
• Invesco Solo 401(k) Trust Beneficiary Certification Form: Certify a trust beneficiary on an Invesco Solo 401(k).
• Invesco Solo 401(k) Salary Reduction Agreement: Indicate participation and salary reduction agreement amounts.
• Invesco Solo 401(k) Successor Plan Administrator Designation Form: Designate a successor plan administrator for the Invesco Solo 401(k).

Invesco Solo 401(k) 2025 Plan Features and Requirements Mailing Materials: Mailed 10/30/2024. Invesco Solo 401(k) employers should use these documents to review several new retirement provisions that will become effective January 1, 2025. Please review the SECURE 2.0 Plan Features and Requirements document, sign if applicable, and keep with your plan records. Refer to the included FAQ for additional information.

Retirement Plans for Small Businesses: Referenced in Solo 401(k) 10/30/2024 mailing: Provides an overview and comparison of retirement plan options for small business owners. Includes SIMPLE and SEP IRAs and various 401(k) plan types: Solo 401(k), Safe Harbor, Age Weighted, and New Comparability. Please note, this brochure reflects SECURE 2.0 provisions available at the time of print.

SIMPLE IRA Annual Summary Description Mailing Materials: Use these documents to notify all eligible employees annually of their right to participate in the plan, enter into a salary reduction agreement or to modify a prior agreement, and to receive employer contributions. Employers must provide a copy of the Annual Summary Description of the plan to all eligible employees prior to the 60-day election period immediately preceding January 1, 2025. These documents were mailed to all Invesco SIMPLE employers on September 13, 2024.

Contribute

• Account features form: Set up recurring contributions or a one-time electronic funds transfer contribution.
• Additional contribution form: Make an additional contribution to a CollegeBound 529 account.
• Exchange/future contribution (allocation) change form: Move money within a CollegeBound 529 account to a different investment option (allowed twice per calendar year) or change investment options for future contributions (allowed anytime).
• Incoming rollover form: Request a direct rollover from another qualified 529 plan or education savings account to a CollegeBound 529 account.
• Payroll direct deposit form: Automatically deduct money from a paycheck and deposit it into a CollegeBound 529 account (if your client's employer offers payroll deduction), or change an existing deduction. If your client is opening a new account, they can enroll online and select payroll deduction as their contribution method.

Open

• CollegeBound 529 enrollment form: Financial professionals, use this enrollment form to open a CollegeBound 529 account.
• CollegeBound 529 enrollment form (RIA): Registered Investment Advisors, use this enrollment form to open a CollegeBound 529 account.
• Company information form: Financial professionals, use this enrollment form to establish a CollegeBound 529 employer program.
• Incoming rollover form: Request a direct rollover from another qualified 529 plan or education savings account to a CollegeBound 529 account.
• Program description: See important information about the plan, investments, expenses, and transactions.
• Investor brochure: Learn more about the features and potential benefits of CollegeBound 529.

Manage

• Account information change form: Update existing information (name, address, phone number, or successor account owner information) or transfer assets to a new account owner.
• Payroll direct deposit form: Add, change, or delete payroll direct deposit instructions for a CollegeBound 529 account.
• Beneficiary change form: Change the beneficiary on an account or transfer a portion of the account assets to a new beneficiary's account.
• Broker/dealer change request form: Authorize the change of the broker/dealer listed on on the account owner's CollegeBound 529 account.
• Limited power of attorney form: Grant another person or organization limited authority to act on the account owner's CollegeBound 529 account.
• Organization resolution form: Identify the officers or other persons who are authorized to conduct transactions on a CollegeBound 529 account on behalf of an organization.
• Power of attorney form: Grant another person or organization authority to act on the account owner's CollegeBound 529 account.
• W-9 request for taxpayer identification number and certification: Certify the account owner's or beneficiary's Social Security number or taxpayer ID number.

Withdraw

• Distribution request form: Initiate a withdrawal from an account. (Do this online for qualified withdrawals only.)
• Direct Rollover Out to Roth IRA Form: Complete this form to initiate a direct rollover of assets from your CollegeBound529 Account to an existing Roth IRA account established for the benefit of the Beneficiary.

Account Application and Maintenance Forms

• Coverdell Education Savings Account Application: Establish an Invesco Coverdell Education Savings Account (Coverdell ESA) with Invesco Trust Company (ITC) as custodian.

• Coverdell Education Savings Account Administration Form: Use this form for an existing Invesco Coverdell ESA to change the designated beneficiary, replace the responsible individual, and change the death beneficiary.

Account Transfer and Distribution Forms

• Coverdell Education Savings Account Transfer Form: Transfer assets from an existing Coverdell Education Savings Account (Coverdell ESA) with another institution to an Invesco Coverdell ESA.
• Coverdell Education Savings Account Distribution Form: Request a distribution from an Invesco Coverdell ESA.