Writing the Business
Required Forms to Open an Account
To help you submit business in good order, the list below outlines the forms needed to open an account for each type of business and a list of forms available to help service the account. Some forms may not be applicable. As a reminder, the applicable fund prospectus(es) and/or summary prospectus must be delivered to the client prior to the time the application is completed or the order ticket is dropped.
| Retail Accounts | ||
|---|---|---|
| Non-Retirement | Retail Account Application | |
| Retail Account Transfer of Assets |
| Retirement Accounts | ||
|---|---|---|
| Traditional Individual Retirement Account (IRA)/SEP-IRA/Roth IRA | IRA Application and Forms Booklet |
|
| Individual(k) | Individual(k) Plan Establishment Kit |
|
| SIMPLE IRA | SIMPLE IRA Booklet |
|
| Coverdell Education Savings Account (ESA) | Coverdell ESA Application and Adoption Agreement |
|
| Other Forms | Transfer on Death Registration Form Trust Certification Form Customer Due Diligence Rules Retirement Plan Disclosure | |
For questions about investment-only defined contribution plans or the Pacific Life Keystone 401(k) Program, please contact your consultative wholesaler at (800) 722-2333.
Suitability
Registered representatives must always follow their broker/dealer’s procedures addressing the offer and sale of mutual funds. Pacific Funds sales must conform to FINRA Rule 2310 (Suitability Rule) as follows: No recommendation shall be made to purchase unless there are reasonable grounds to believe that the purchase of the mutual fund is suitable for the customer. Your recommendation should be based on the information furnished after reasonable inquiry of such customer concerning the applicant’s investment objectives, financial and tax status and any other information known to the broker/dealer or registered representative making the recommendation.
For more information, contact us at (800) 722-2333.
