One Off DOL Request
Advisor
*
Discussed Cost Comparison with the Client (DOL)?
*
Yes
No
Discussed All Options Listed Below?
*
Commission / Fee Based
Roll Retirement Savings from Employer Plan into IRA
Leave Savings in Employer-Sponsored Retirement Plan
Withdraw Money Only
Types of Managing Transfers?
*
IRA Accounts Only
Qualified Accounts Only
IRA & Qualified Accounts
Household Service Offering
*
Overall Recommendation & Rationale
*
Custodian
Custodian?
*
Fidelity
Charles Schwab
Zoe
Other
Back
Next
Client Information
Client 1
Name
*
First Name
Last Name
Client 1 - Account Funding
Inlcudes LPOAs, Transfers, and Rollovers
Select All That Apply
*
LPOA
Transfers
Rollovers
Pontera
LPOAs
*
Transfers
*
Rollovers
*
Pontera
Pontera Accounts
*
Another Client?
*
Yes
No
Back
Next
Client 2
Name
*
First Name
Last Name
Client 2 - Account Funding
Select All That Apply
*
LPOA
Transfers
Rollovers
Pontera
LPOAs
*
Transfers
*
Rollovers
*
Pontera
Pontera Accounts
*
Notes
Submit
Discuss Cost Comparison prior to completing DOL.
Should be Empty: