College Savings Forms and Documents


Information updates and investment management changes can be made online by logging into your account. The forms and documents below may be used as an alternative, and mailed to the address listed on the form.


Form / Document Description Requirement
Account Featured Form PDF

Use this form to add, update or delete:

  • Automatic Investment Program (AIP) / Electronic Funds Transfer
  • Bank information
  • Interested party information
  • Reduced sales charge
  • Systematic Exchange Program
  • Systematic Withdrawal Program

To qualify for a reduced sales charge you must meet eligibility requirements. This form requires the Account Owner signature. See the Offering Statement PDF for details.

Account Information Change Form PDF

Use this form to update your:

  • Address
  • Telephone Number
  • Email address
  • Successor Owner

Use this form to change:

  • Your Name
  • Owner of the Account

For name changes, we require a medallion signature guarantee of your old signature and new signature by an authorized officer of a bank, broker or other qualified financial institution, or you may provide a certified copy of the appropriate legal documents establishing your name change.

A medallion signature guarantee is also required for changing the owner on the account.

Payroll Direct Deposit PDF

Use this form to add, change or delete Payroll Direct Deposit instructions for your account.

Complete and mail in this form. In turn, you will receive a Payroll Direct Deposit Confirmation Form, which you must sign and submit to your employer's payroll department. Your Payroll Direct Deposit instructions will not take effect until your employer has accepted your signed form.

Investment Strategy/Investment Allocation Change PDF

You can change your investment strategy (move all of your funds from their current investment option(s) to new investment option(s), or you can change your investment allocation instructions for future contributions.

This form requires the signature of the Account Owner.

Designated Beneficiary Change PDF

Transfer all or part of the balance in the Account of your current Designated Beneficiary to a new Designated Beneficiary

A list of eligible beneficiaries may be found in the Offering Statement PDF. If the new beneficiary is not an eligible family member, the change will be considered a non-qualified distribution, which means that it may be subject to both state and federal income tax and a 10% federal penalty on any earnings.

Distribution Request Form PDF

Use this form to request a full or partial, qualified or non-qualified distribution from your account.

Submit and sign a form for each type of distribution you are requesting (qualified or non-qualified).

We are required to file an IRS Form 1099-Q for distributions from your account during the calendar year.

Account Application Form PDF

Use this form to open a new account.

This form requires Social Security Numbers for Account Owner and Designated Beneficiary, a residential mailing address for the Account Owner, and W-9 Certification with the Account Owner signature.

Incoming Rollover/Transfer PDF

Use this form to direct rollover from:

  • Another 529 plan
  • Education Savings Account (ESA)
  • Qualified Savings Bond (EE Savings Bond)
  • Another savings account such as a mutual fund, bank account, CD or any other type of account to an existing account.

If you do not have an existing account with the SMART529 program, please Open an Account online or complete and mail a new Account Application form.

Agent Authorization/ Limited Power of Attorney PDF

Use this form for adding a Registered Investment Advisor (RIA) and adding Trading Authority to this account.

Unless authorized, SMART529 limits access to information on any account as well as the ability to make discretionary transactions to the Account Owner and employees of the Program Manager and its affiliates.

Select the Authorization Level you wish the RIA to have and sign the form under the witness of a Notary.

Offering Statement PDF

Follow this link to obtain a pdf of the most recent Offering Statement for this plan. The Offering Statement provides descriptions of the underlying funds, risks and considerations, and the participation agreement.

Trustee Certification Form PDF

Please complete this form in its entirety if:

  • You are applying for a SMART529 Select Account where the Account Owner and/or Beneficiary will be a trust.
  • You are changing the Account Owner and/or Beneficiary of an existing SMART529 Select Account to a trust.
  • You are modifying the trust information previously provided to SMART529 Select.

Note: All trust information must reflect the same information listed on the application. This form cannot be used as an application supplement.