JMU 529 Plan Application


 

1 Client info
2 employment
3 affiliations
4 successor owner
5 financial info
6 assets
7 Beneficiary
Client Information for Primary Applicant

Once this online application is completed, necessary forms will be generated from the information provided and will require signatures prior to new account opening.

Entries will be saved automatically as you progress through the form. If you have to leave the application and return at a later date, your information will be saved for up to 30 days.

Full Name
Social Security Number
Date of Birth
Martial Status
Gender
Number of Dependents
Government ID Typeplease choose an ID for us to verify your identity
Valid Government ID#please enter the number from the selected ID type
Government ID Exp Date:please enter the expiration date on the ID
Employee ID(issued by JMU)
Permanent Address
City
State
Zip
Do you have a different mailing address?
Mailing Address
City
State
Zip
Daytime Phone
Evening Phone
Employment
Employment Status
Income Sourceif retired or not employed
Employment Type
Name of Employer
Occupation
Address of Employer
City
State
Zip
Affiliations
Are you a senior political figure, or a family member of a control person or affiliate of a publicly traded company under SEC Rule 144?
Are you affiliated with, or employed by, a stock exchange, or a member firm of an exchange or Financial Industry Regulatory Authority (FINRA), or a municipal securities Dealer? If so, please provide the name and address of entity. If not, leave blank.
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Successor Owner
If you were to die or become legally incapacitated, the successor account owner assumes all rights and responsibilities for the 529 account. The successor can be, but does not have to be, a spouse.
Successor Owner First Name
Middle Initial
Last Name
Successor Owner DOB
Trusted Contact Information

If we are unable to reach you, you authorize us to contact the person listed regarding your current contact information. Note: Trusted contact must be 18 years of age or older and should not be co-account owner. Trusted contact is not authorized in any way to place trades or request funds or act as Power of Attorney.

Trusted Contact First Name
Middle Initial
Last Name
Mailing Address
City
State
Zip
Phone
Relationship to Applicant
Financial Information
Since this process requires opening an investment account, the following information is required by FINRA, referred to as the Know Your Customer Rule.
Annual Income($ amount from all sources)
Estimated Net Worthestimate everything you own (assets) minus everything you owe (debts, mortgage, etc.)
Liquid Net Worthfunds you can access within 3-5 days (includes investments)
City
Federal Tax Bracket%
Annual Expenses(recurring)
Special Expensesi.e. planning for a wedding or a vacation
Time Frame for Special Expenses(one year, five years, etc.)
Will you need to make significant withdrawal from your portfolio within the next 5 years to fund major expenses?
Investment Time Horizonhow long in years do you need the money to grow?
Source of Initial Funds for this Account
Investment Purpose(select all that apply)
Please rank your investment objectives from 1-5, with 1 being the highest.
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Current Income
Growth
Balanced
Maximum Growth
Growth & Income
Investment Knowledge
What is your Risk Tolerance?
How do you generally make your financial decisions?
How will you be making your investments?
Investment Assets

Provide total value of assets held away in other institutions such as Mutual funds, Annuities, Banks etc.

Do you have any investments or investment accounts?(including your retirement plan)
Total Amount Invested($ amount)
Do you have investments in Stocks?
Amount invested in Stocks($ amount)
Years of experience in Stocks(number of years)
Do you have investments in Bonds?
Amount invested in Bonds($ amount)
Years of experience in Bonds(number of years)
Do you have investments in Mutual Funds?
Amount invested in Mutual Funds($ amount)
Years of experience in Mutual Funds(number of years)
Do you have investments in Margins?
Amount invested in Margins($ amount)
Years of experience in Margins(number of years)
Do you have investments in Foreign Currency?
Amount invested in Foreign Currency($ amount)
Years of experience in Foreign Currency(number of years)
Do you have investments in Foreign Securities?
Amount invested in Foreign Securities($ amount)
Years of experience in Foreign Securities(number of years)
Do you have investments in Options?
Amount invested in Options($ amount)
Years of experience in Options(number of years)
Do you have investments in Limited Partnerships?
Amount invested in Limited Partnerships($ amount)
Years of experience in Limited Partnerships(number of years)
Do you have investments in Variable Contracts?
Amount invested in Variable Contracts($ amount)
Years of experience in Variable Contracts(number of years)
Do you have investments in Futures?
Amount invested in Futures($ amount)
Years of experience in Futures(number of years)
Do you have investments in Annuities?
Amount invested in Annuities($ amount)
Years of experience in Annuities(number of years)
Do you have investments in Alternative Investments?
Amount invested in Alternative Investments($ amount)
Years of experience in Alternative Investments(number of years)
Do you have investments in any Other asset type?
Name of Other Asset Type
Amount invested in Other($ amount)
Years of experience in Other(number of years)

Total invested from all asset types:

$ [ FIELD83 + FIELD85 + FIELD91 +FIELD90 + FIELD93 + FIELD88 + FIELD97 + FIELD95 + FIELD103 + FIELD99 + FIELD101 + FIELD106 + FIELD108 ]

Please make sure this adds up to the total amount invested initially stated above.

Beneficiary
Beneficiary #1: First Name
Middle Initial
Last Name
DOB
Social Security
Country of Citizenship
Add another Benificiary?
Beneficiary #2: First Name
Middle Initial
Last Name
DOB
Social Security
Country of Citizenship
Add another Benificiary?
Beneficiary #3: First Name
Middle Initial
Last Name
DOB
Social Security
Country of Citizenship
Add another Benificiary?
Beneficiary #4: First Name
Middle Initial
Last Name
DOB
Social Security
Country of Citizenship
Add another Benificiary?
Beneficiary #5: First Name
Middle Initial
Last Name
DOB
Social Security
Country of Citizenship
Add another Benificiary?
Beneficiary #6: First Name
Middle Initial
Last Name
DOB
Social Security
Country of Citizenship
You're all done! Click Submit Application below.


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