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-RetirementRetail Account Application 
 Retail Account Transfer of Assets 
Retirement Accounts  
Traditional Individual Retirement Account
(IRA)/SEP-IRA/Roth IRA

IRA Application and Forms Booklet
  • Application
  • Transfer of Assets/Direct Rollover
  • IRA Rollover Certification
Individual(k)Individual(k) Plan Establishment Kit
  • Individual(k) Account Application
  • Individual(k) Direct Rollover/Transfer Request
  • Individual(k) Rollover Contribution
  • Individual(k) Contribution Form
SIMPLE IRASIMPLE IRA Booklet
  • Application
  • Employer Information Form
  • Transfer of Assets
  • Rollover Certification
Coverdell Education Savings Account (ESA)Coverdell ESA Application and Adoption Agreement
  • Application
  • Transfer of Assets
  • Rollover Certification
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.