Forms & Applications

You can manage and update your Principal Funds account using the forms below.


Submit completed forms to your financial professional or directly to Principal Funds.

Mail completed forms to:

Principal Funds
P.O. Box 8024
Boston, MA 02266-8024

For overnight delivery:

Principal Funds
30 Dan Road
Canton, MA 02021-2809

Form Name
403(b)(7) Custodial Agreement
For use with your existing Principal Funds 403(b)(7) account.
  Download
403(b)(7) Distribution Request
Request a distribution from a 403(b)(7) account.
  Download
Account Application
Establish a non-retirement account (Individual, Transfer on Death, Joint, UTMA, or Trust/Corporation/Partnership/Other Entity).
  Download
Automatic Exchange Election
Establish an automatic exchange of shares between funds in your account.
  Download
Automatic Investment Plan
Establish automatic investments into your Principal Funds account from your checking or savings account.
  Download
Beneficiary Designation
Add or change beneficiaries on your retirement account.
  Download
Change of Dealer or Investment Representative
Update your broker/dealer and/or financial professional information on your account.
  Download
Check Writing Privileges for Money Market Fund
Establish check-writing privileges on a new or existing money market fund in your non-retirement account.
  Download
Cost Basis Election Form
Change the cost basis election on your existing non-qualified account.
  Download
Direct Deposit Authorization Form
Establish a Direct Deposit plan to automatically deposit all or part of your paycheck, Social Security, or government agency payments, directly to your Principal Funds account.
  Download
Education Savings Account (ESA) Application
Establish a Coverdell Education Savings Account.
  Download
ESA Custodial Agreement (IRS Form 5305-EA)
Review this document before establishing a Coverdell Education Savings Account, and keep a copy for your records.
  Download
Education Savings Account (ESA) Distribution
Request a distribution from a Coverdell Education Savings Account.
  Download
Education Savings Account (ESA) Transfer Request
Transfer a Coverdell Education Savings Account (ESA) from another institution to Principal Funds.
  Download
Electronic Funds Transfer
Add banking information to your account to facilitate electronic purchases and redemptions.
  Download
IRA 72(t) Distribution
Establish 72(t) distributions from your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA.
  Download
IRA Application
Establish a Traditional or Roth IRA account.
  Download
IRA Distribution
Request a non-mandatory distribution from your Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA account.
  Download
IRA Plan Document, Custody Agreement, & Account Disclosure Statement
Review this document before establishing a Traditional IRA, Roth IRA, or SEP IRA, and keep it for your records.
  Download
IRA Rollover Statement
If you would like to roll over funds from a qualified plan or IRA (including those made payable to you) into a Principal Funds IRA, use this form.
  Download
IRA Transfer/Direct Rollover Request
For a Trustee-to-Trustee Transfer/Rollover of a Traditional IRA, Roth IRA, or Rollover IRA from another institution to Principal Funds.
  Download
Legal Name Change
Request a legal name change for your account.
  Download
Non-IRA Transfer
Transfer a non-retirement Certificate of Deposit (CD), mutual fund, or other investment to Principal Funds.
  Download
Non-Qualified Redemption Request
Request a one-time distribution from your non-retirement account.
  Download
Power Of Attorney Affidavit
Establish a POA (Power of Attorney) or recertify an existing POA annually.
  Download
Qualified Plan Application
Establish an investment-only employer-sponsored retirement plan, such as a 401(k), Profit-Sharing, or Money Purchase Pension plan (for use by plan trustees).
  Download
Qualified Plan Enrollment
Enroll in your employer’s investment-only, such as a 401(k), Profit-Sharing, or Money Purchase Pension plan (for use by plan participants).
  Download
Registration Change
Change the registration of your non-retirement account or transfer shares from your account to another non-retirement account with a different registration.
  Download
Required Minimum Distribution (RMD) Request
Request a Required Minimum Distribution from your Traditional IRA, SIMPLE IRA, SEP IRA, or 403(b)(7) account.
  Download
Retirement Plan Beneficiary
Open a Beneficiary IRA or take distributions from an existing Beneficiary IRA.
  Download
Retirement Plan Primary/Secondary Administrator Form
Add or update the Primary/Secondary Administrators on your Sponsor Service Center plan.
  Download
Rights of Accumulation (ROA)/Statement of Intent (SOI)
Notify us of accounts eligible for linking under Rights of Accumulation (ROA), or establish a Statement of Intent (SOI).
  Download
Roth IRA Conversion/Deconversion Application
Convert your Traditional IRA into a Roth IRA, or deconvert a Roth IRA into a Traditional IRA.
  Download
SEP IRA Adoption Agreement
Establish a SEP IRA plan (for use by employers).
  Download
SEP IRA Application
Establish a SEP IRA account (for use by plan participants).
  Download
SEP IRA Employer Contribution
Submit initial employer contributions for participants in a SEP IRA (for use by employers).
  Download
SEP IRA Transfer/Direct Rollover Request
Transfer a SEP IRA (or roll over a qualified plan) from another institution to a SEP IRA with Principal Funds.
  Download
SIMPLE IRA Adoption Agreement (IRS Form 5304-SIMPLE)
Establish a SIMPLE IRA plan (for use by employers).
  Download
SIMPLE IRA Application
Establish a SIMPLE IRA account (for use by plan participants).
  Download
SIMPLE IRA Custodial Agreement (IRS Form 5305-SA)
Establish a SIMPLE IRA Plan agreement between employer and employee.
  Download
SIMPLE IRA Salary Deferral Agreement
Establish or amend salary deferral contributions to your SIMPLE IRA account.
  Download
SIMPLE IRA Salary Deferral Contribution
Submit initial employer contributions for participants in a SIMPLE IRA plan (for use by employers).
  Download
SIMPLE IRA Transfer Request
Transfer a SIMPLE IRA from another institution to Principal Funds.
  Download
Systematic Withdrawal Plan (SWP) Request
Establish systematic withdrawals from your Principal Funds non-retirement account to your checking or savings account.
  Download
Transfer On Death Affidavit
Use this form to transfer ownership of an existing account registered as a Transfer upon a Death.
  Download
Transfer On Death Registration Form
Establish a Transfer On Death (TOD) registration on a new or existing account.
  Download
Trust or Business Authorized Trader Form
Grant online account authorization on a trust or corporate account.
  Download
Trustee Certification and Indemnification
Use this form to certify trustees on a trust account.
  Download
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