Forms & Applications
February 1, 2016
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 |
| Beneficial Owner Certification Form Designate the Beneficial Owners and the Control Person on a legal entity 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 |
| Principal Funds Employer Plan - Primary and Secondary Administrator Assignment Add or update the Primary/Secondary Administrators on your Sponsor Service Center plan. |
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 |
| 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 |