Resource Library

Qualified Retirement Plans, N-Shares

  • The forms on this website are only used when the Plan will be custodied at Dunham Trust Company. If you are working with the following TPAs: BenefitStreet, Employee Fiduciary, PenSys, or Retirement Direct; and will be placing the plan on a Dunham approved TPA custodial platform (Matrix, Charles Schwab Trust Company or SunGard Financial Network), all required documentation will be supplied by the TPA
  • To avoid potential paperwork problems, please contact your Regional Director, Regional Marketing Associate, or Client Services before seeing your client.

Description

In a Trustee-Directed plan, all investments are owned at the plan level and all investment activity is directed by a trustee and/or self-employed individual. Plans include the following account types:

  • 401(k)
  • Pension Plan
  • Profit Sharing Plan
  • Other QRPs

Required forms

Optional forms

Qualified Retirement Plan accounts require additional documentation. Please submit a copy of the plan documents, Adoption Agreement, and IRS Determination Letter (if applicable) to Dunham with your application.

Description

In a Participant-Directed plan, all investments are directed by the individual participant. However, Dunham will not receive investment instructions from the individual participant. Plans include the following account types:

  • 401(k)
  • Pension Plan
  • Profit Sharing Plan
  • Other QRPs

Required forms

Optional forms

Qualified Retirement Plan accounts require additional documentation. Please submit a copy of the plan documents, Adoption Agreement, and IRS Determination Letter (if applicable) to Dunham with your application.