PENSCO Trust Forms and Documents
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Click on the below links to take you directly to the forms and documents you need.
You will need the Adobe Reader version 8 or newer software in order to print this form. Click on the link if you do not already have Adobe Acrobat Reader version 8 or newer.
Download ReaderOpen A New Account
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IRA Application
Use this form to open an IRA, SEP IRA, or Roth IRA.
Please note: To open a SEP IRA, in addition to the IRA Application, a 5305-SEP form will need to be submitted.
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IRA Primary Beneficiary Designation
Complete and sign this form to designate a primary beneficiary for your IRA.
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IRA Secondary Beneficiary Designation
Complete and sign this form to designate a secondary beneficiary for your IRA.
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Open A New Solo(k) Plan
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Solo(k) Plan Establishment Kit
All the forms you need to begin self-directing your retirement through a Solo(k).
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Solo(k) Plan Document
You will need to read this document and either print - OR - save it to your hard drive.
Note: The Solo(K) Plan Document consists of more than 50 pages.
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Solo(k) Adoption Agreement
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IRS Letter 4333
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Solo(k) PPA Amendment Kit
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Open A New Custodial Account
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Custodial Account Application Kit
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Fund an Existing IRA Account
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IRA Cash Transfer
Use this form when transferring cash from one IRA to a like IRA - i.e., IRA to IRA, SEP to SEP, Roth to Roth. A transfer is the direct movement of IRA assets from one IRA custodian to another, without the account holder (or death beneficiary) taking a distribution. A transfer is not a reported taxable event and therefore, this method may be used any number of times. The receiving custodian (PENSCO Trust) requests the funds from the current custodian on behalf of the account holder using this form.
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IRA 60-Day Cash Rollover
This option is typically the most efficient way to move funds between IRA accounts and allows an IRA owner 60 days to return distributed IRA funds to an IRA without tax or penalty. This 60-day rollover may only be done once per 12-month period per account. You current custodian should be able to provide you with a distribution check in only a few days.
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IRA In-Kind Transfer
Use this form if you will be transferring any assets 'in kind' (i.e., not liquidating and transferring as cash). Please supply the required documentation for each asset as indicated in our In-Kind Transfer/Rollover Requirements Kit.
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IRA Cash Direct Rollover Designation
Use this form when rolling cash directly from a non-IRA account to a PENSCO IRA. A direct rollover is the direct movement of funds from an eligible plan (such as a 401(k) plan, profit sharing plan, etc.) into an IRA. Moving the funds directly from an eligible plan to an IRA will avoid present tax withholdings.
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IRA In-Kind Direct Rollover Designation
Use this form when rolling any assets 'in kind' (i.e., not liquidating and rolling over as cash) directly from a non-IRA account to a PENSCO IRA. A direct rollover is the direct movement of funds from an eligible plan (such as a 401(k) plan, profit sharing plan, etc.) into an IRA. Moving the funds directly from an eligible plan to an IRA will avoid present tax withholdings.
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Roth IRA Conversion Form
Use this form to fund a PENSCO Roth IRA via funds from a non-Roth account.
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In Kind Transfer/Rollover Requirements Kit
Use these lists of requirements when transferring existing assets to PENSCO Trust 'in kind' (i.e., not liquidating them and transferring as cash) from another custodian.
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PENSCO Trust's Incoming Wire Transfer & ACH Instructions
Use these instructions to send funds to a PENSCO Trust account by wire or ACH.
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Fund an existing Solo(k) Account
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Solo(k) Rollover
Use this form to certify a Direct Rollover from a plan of a previous employer or a 60-Day Rollover of funds from an IRA to a PENSCO Trust Solo(k).
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Solo(k) Contribution
Use this form to make a new contribution to a PENSCO Trust Solo(k).
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Solo(k) In-House Rollover
Use this form for consolidating PENSCO Trust IRAs and SEP IRAs into your PENSCO Trust Solo(k).
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Make an IRA Investment
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Real Estate Purchase Kit
All the forms you need to purchase real estate using your PENSCO Trust IRA. This kit includes the Real Estate Purchase Checklist, IRA Non-Public Investment Authorization, and Payment and Funding Instructions forms.
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Private Investment Kit
All the forms you need to invest into a private placement (e.g., LLC, LP, C-Corp, etc.) using your PENSCO Trust IRA. This kit includes the File a New Investment Kit, IRA Non-Public Investment Authorization, and Payment and Funding Instructions forms.
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Private Investment Kit (Single Member)
All the forms you need to invest into a private placement (e.g., LLC, LP, C-Corp, etc.) using your PENSCO Trust IRA. This kit includes the File a New Investment Kit, IRA Non-Public Investment Authorization, and Payment and Funding Instructions forms.
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Secured Note Investment Kit
All the forms you need to invest into a secured loan using your PENSCO Trust IRA. This kit includes the Secured Loan Checklist, Deed of Trust/Mortgage Direction Letter, Loan Servicing Agreement, and Payment and Funding Instructions forms.
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Promissory Note Investment Kit
All the forms you need to invest into an promissory note using your PENSCO Trust IRA. This kit includes the Promissory Note Checklist, Promissory Note Authorization, Promissory Note Servicing Agreement, and Payment and Funding Instructions forms.
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Make a Solo(k) Investment
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Solo(k) Real Estate Purchase Kit
All the forms you need to purchase real estate using your PENSCO Trust Solo(k). This kit includes the Real Estate Purchase Checklist, Solo(k) Non-Public Investment Authorization, and Payment and Funding Instructions forms.
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Solo(k) Private Investment Kit
All the forms you need to invest into a private placement using your PENSCO Trust Solo(k). This kit includes the File a New Investment Kit, Solo(k) Non-Public Investment Authorization, and Payment and Funding Instructions forms.
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Solo(k) Private Investment Kit (Single Member)
All the forms you need to invest into a private placement using your PENSCO Trust Solo(k). This kit includes the File a New Investment Kit, Solo(k) Non-Public Investment Authorization, and Payment and Funding Instructions forms.
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Solo(k) Secured Note Investment Kit
All the forms you need to invest into a secured loan using your PENSCO Trust Solo(k). This kit includes the Secured Loan Checklist, Deed of Trust/Mortgage Direction Letter, Loan Servicing Agreement, Solo(k) Non-Public Investment Authorization, and Payment and Funding Instructions forms.
Download PDF -
Solo(k) Promissory Note Investment Kit
All the forms you need to invest into an promissory note using your PENSCO Trust Solo(k). This kit includes the Promissory Note Checklist, Promissory Note Authorization, Promissory Note Servicing Agreement, Solo(k) Non-Public Investment Authorization, and Payment and Funding Instructions forms.
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File A New Investment With PENSCO Trust
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File a New Investment Kit
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File a New Investment Kit (Single Member)
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Account Maintenance
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IRA Authorization for Distribution
Complete and sign to receive a distribution of funds from your IRA, whether it is a one-time distribution or to schedule a periodic distribution of funds. You may also use this form to take a total distribution of your assets, which will terminate your PENSCO Trust IRA.
Do not use this form to instruct us to send funds to a third party. If you intend to transfer funds to a third party custodian, please contact them for a transfer request form.
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Roth IRA Authorization for Distribution
Complete and sign to receive a distribution of funds from your Roth IRA, whether it is a one-time distribution or to schedule a periodic distribution of funds. You may also use this form to take a total distribution of your assets, which will terminate your PENSCO Trust Roth IRA.
Do not use this form to instruct us to send funds to a third party. If you intend to transfer funds to a third party custodian, please contact them for a transfer request form.
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Stop Payment Authorization Form
Use this form to make "stop payment" requests for your PENSCO Trust account.
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Credit Card Authorization
Use this form to update your account(s) credit card information.
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ACH Debit Authorization
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ACH Debit Instructions
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Make a Change to My Account Profile
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Contact Information Update
Complete and sign this form to update or change Account information such as mailing address, phone, email, or credit card.
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Solo(k) Primary Beneficiary
Complete and sign this form to update or change your Solo(k) primary beneficiary information.
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Solo(k) Secondary Beneficiary
Complete and sign this form to update or change your Solo(k) secondary beneficiary information.
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Account Access Authorization
Complete and sign this form to update or change your Account's Designated Representative or Authorized Interested Party information. The signatures of both the Account Holder and the representative are required.
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IRA Primary Beneficiary
Complete and sign this form to update or change your IRA primary beneficiary information.
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IRA Secondary Beneficiary
Complete and sign this form to update or change your IRA secondary beneficiary information.
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Fax Cover Sheets
In order to expedite processing, please print and use the following fax cover sheets to route your documents to the appropriate department.
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Business Development
Use to request information on PENSCO Trust's products and services.
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Client Services
Use for inquiries regarding general account information, i.e., account balances, billing options, beneficiaries, transaction statuses, etc.
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Deposits
Use to communicate additional detail, breakdown and/or description of deposits and payments made in to your account at PENSCO Trust.
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Expense Payment/Purchasing
Submit in conjunction with Payment and Funding Instructions form for expense payments.
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Marketing
Use for Preferred Professional application forms.
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Private Placements
Use to submit paperwork regarding your private placement investment(s), such as when you are submitting paperwork regarding an LLC, LP, or private C-Corp, or faxing in instructions to invest in one of the previous entities.
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Real Estate
Use for real estate investment transactions (purchases, mortgage notes/deeds of trust, etc.).
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Transfers In/New Account
Use only for confirmation of in-kind asset re-registrations (changes to asset vesting). DO NOT use for transfer request forms unless authorized to do so by a PENSCO Trust representative. (Your relinquishing custodian will normally require us to send the original.)
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Forms and Documents Listed Individually
Still looking for the form you need? Below are all our forms and documents listed individually, categorized by function. Remember, you can always call our Client Service Team for help toll-free at 800-969-4472.
Open & Fund
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In Kind Transfer/Rollover Requirements Kit
Use these lists of requirements when transferring existing assets to PENSCO Trust 'in kind' (i.e., not liquidating them and transferring as cash) from another custodian.
Download PDF -
IRA Application
Use this form to open an IRA, SEP IRA, or Roth IRA.
Please note: To open a SEP IRA, in addition to the IRA Application, a 5305-SEP form will need to be submitted.
Download PDF -
IRA Cash Direct Rollover Designation
Use this form when rolling cash directly from a non-IRA account to a PENSCO IRA. A direct rollover is the direct movement of funds from an eligible plan (such as a 401(k) plan, profit sharing plan, etc.) into an IRA. Moving the funds directly from an eligible plan to an IRA will avoid present tax withholdings.
Download PDF -
IRA Cash Transfer
Use this form when transferring cash from one IRA to a like IRA - i.e., IRA to IRA, SEP to SEP, Roth to Roth. A transfer is the direct movement of IRA assets from one IRA custodian to another, without the Account-holder (or death beneficiary) taking a distribution. A transfer is not a reported taxable event and therefore, this method may be used any number of times. The receiving custodian (PENSCO Trust) requests the funds from the current custodian on behalf of the Accountholder using this form.
Download PDF -
IRA 60-Day Cash Rollover
This option is typically the most efficient way to move funds between IRA accounts and allows an IRA owner 60 days to return distributed IRA funds to an IRA without tax or penalty. This 60-day rollover may only be done once per 12-month period per account. You current custodian should be able to provide you with a distribution check in only a few days.
Download PDF -
IRA Fee Schedule
Download a printable version of the fee schedule.
Click here to use our fee calculator to estimate your Account's Annual Maintenance Fee.
Download PDF -
IRA In-Kind Direct Rollover Designation
Use this form when rolling any assets 'in kind' (i.e., not liquidating and rolling over as cash) directly from a non-IRA account to a PENSCO IRA. A direct rollover is the direct movement of funds from an eligible plan (such as a 401(k) plan, profit sharing plan, etc.) into an IRA. Moving the funds directly from an eligible plan to an IRA will avoid present tax withholdings.
Download PDF -
IRA In-Kind Transfer
Use this form if you will be transferring any assets 'in kind' (i.e., not liquidating and transferring as cash). Please supply the required documentation for each asset as indicated in our In-Kind Transfer/Rollover Requirements Kit.
Download PDF -
IRA Owner Agreement and Disclosure Statement
This document describes the relationship between the IRA Owner and PENSCO Trust and includes the IRA Fee Schedule as well.
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PENSCO Trust's Incoming Wire Transfer & ACH Instructions
Use these instructions to send funds to a PENSCO Trust account by wire or ACH.
Download PDF -
Roth IRA Conversion Form
Use this form to fund a PENSCO Roth IRA via funds from a non-Roth account.
Download PDF -
Solo(k) Fee Schedule
Download PDF -
Solo(k) Plan Establishment Kit
All the forms you need to begin self-directing your retirement through a Solo(k).
Download PDF -
Solo(k) Plan Document
You will need to read this document and either print - OR - save it to your hard drive.
Note: It consists of more than 50 pages.
Download PDF -
5305-EA
This IRS form is required to open a Coverdell Education Savings Account. Please complete and include with your IRA Application.
Download PDF -
5305-SEP
This IRS form is required to open a SEP IRA. Please complete and include with your IRA Application.
Download PDF
Investment Forms and Document Checklists
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File a New Investment Kit:
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Issuer Representation Letter
This form must be completed and signed by the Issuer prior to PENSCO Trust's acceptance of the Issuer's investment. PENSCO Trust will not execute an Accountholder's investment transaction prior to receiving this form.
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Issuer Representation Letter (Single Member)
Same as above but directed to Single Members & Family Controlled Companies
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Private Investment Overview
These guidelines are to simplify an understanding of PENSCO Trust's requirements for the processing of non-publicly traded investments. This page outlines the processing requirements for funding a private investment within a PENSCO Trust Account.
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Private Investment Submission Guidelines
These guidelines define the information pertaining to a private placement (e.g. LLC, LP, etc.) required by PENSCO Trust prior to processing an Account Holder's investment into it.
Download PDF
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Promissory Note Checklist
A list of forms and documents necessary to make an unsecured promissory note from your Account to an individual or entity.
Download PDF -
Real Estate Purchase Checklist
Expedite your purchase by providing the required documents to PENSCO Trust the first time. Our handy checklist details which documents are required or optional.
Download PDF -
Secured Note Checklist
A list of forms and documents necessary to make a secured loan from your Account (i.e., Deed of Trust or Mortgage Note).
Download PDF
Investment Forms
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IRA Non-Public Investment Authorization
Complete and sign this form to initiate a non-publicly traded investment (i.e., when investing in real property, promissory note, private placements, etc).
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IRA Public Investment Authorization
Use this form to invest in publicly-traded assets such as CDs or Mutual funds, or to open a Brokerage Account.
Download PDF -
Payment and Funding Instructions
Complete and sign this form to provide detailed instructions on how to fund your investment. (Use the Payment and Funding Instructions to help expedite your investment by providing detailed instructions.) This form is also used to authorize the payment of expenses associated with your investment.
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Promissory Note Authorization
This is the authorization form PENSCO Trust needs to fund a promissory note from your IRA to an individual or entity.
Download PDF -
Promissory Note Checklist
A list of forms and documents necessary to make an unsecured promissory note from your Account to an individual or entity.
Download PDF -
Promissory Note Servicing Agreement
PENSCO Trust does not service notes! Please complete and return this form when funding a promissory note.
Download PDF -
Secured Note Checklist
A list of forms and documents necessary to make a secured loan from your Account (i.e., Deed of Trust or Mortgage Note).
Download PDF -
Secured Note Authorization
Use this form (in conjunction with the Note Servicing Agreement form below) to fund a note secured by some type of collateral.
Download PDF -
Secured Note Servicing Agreement
PENSCO Trust does not service notes! Please complete and return this form when funding a secured note.
Download PDF -
Solo(k) Non-Public Investment Authorization
Complete and sign this form to initiate a non-publicly traded investment (i.e., when investing in real property, promissory note, private placements, etc).
Download PDF -
Solo(k) Public Investment Authorization
Use this form to invest in publicly-traded assets such as CDs or Mutual funds, or to open a Brokerage Account at the firm of your choice!
Download PDF
Account Maintenance
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ACH Debit Authorization
Download PDF -
ACH Debit Instructions
Download PDF -
Credit Card Authorization
Use this form to update your account(s) credit card information.
Download PDF -
IRA Authorization for Distribution
Complete and sign to receive a distribution of funds from your IRA, whether it is a one-time distribution or to schedule a periodic distribution of funds. You may also use this form to take a total distribution of your assets, which will terminate your PENSCO Trust IRA.
Do not use this form to instruct us to send funds to a third party. If you intend to transfer funds to a third party custodian, please contact them for a transfer request form.
Download PDF -
Roth IRA Authorization for Distribution
Complete and sign to receive a distribution of funds from your Roth IRA, whether it is a one-time distribution or to schedule a periodic distribution of funds. You may also use this form to take a total distribution of your assets, which will terminate your PENSCO Trust Roth IRA.
Do not use this form to instruct us to send funds to a third party. If you intend to transfer funds to a third party custodian, please contact them for a transfer request form.
Download PDF -
Stop Payment Authorization Form
Use this form to make "stop payment" requests for your PENSCO Trust account.
Download PDF
Change to Account Profile
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Account Access Authorization
Complete and sign this form to update or change your Account's Designated Representative or Authorized Interested Party information. The signatures of both the Account-holder and the representative are required.
Download PDF -
Contact Information Update
Complete and sign this form to update or change Account information such as mailing address, phone, email, or credit card.
Download PDF -
IRA Primary Beneficiary Designation
Complete and sign this form to designate a primary beneficiary for your IRA.
Download PDF -
IRA Secondary Beneficiary Designation
Complete and sign this form to designate a secondary beneficiary for your IRA.
Download PDF -
Solo(k) Primary Beneficiary Designation
Complete and sign this form to designate a primary beneficiary for your Solo(k).
Download PDF -
Solo(k) Secondary Beneficiary Designation
Complete and sign this form to designate a secondary beneficiary for your Solo(k).
Download PDF
Mailing Addresses
Regular USPS mail delivery:
- PENSCO Trust Company
- P.O. Box 26903
- San Francisco, CA 94126
Overnight Delivery Only:
- PENSCO Trust Company
- 450 Sansome Street 14th Floor
- San Francisco, CA 94111
Please note: All original forms must be mailed to PENSCO for processing.
However, most investment related documents may be faxed to 415.956.3016
- 30 Penhallow Street Suite 200E, Portsmouth, NH 03801
- 450 Sansome Street, 14th Floor, San Francisco, CA 94111
© 2010 PENSCO Trust Company; PENSCO Inc.