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Individual Retirement Account Forms

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Individual Retirement Account Forms


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Use this form to open a IRA account. Before opening an IRA account, please download and read the IRA Disclosure Statement and Custodial Agreement. This document also contains a Q&A about IRAs.

Use this form to open a ROTH IRA account. Before opening a ROTH IRA account, please download and read the ROTH IRA Disclosure Statement and Custodial Agreement. This document also contains a Q&A about ROTH IRAs. Please Note: We strongly advise you to consult your tax advisor before you choose to make a ROTH IRA investment.

Use this form to transfer an IRA from another institution to Neuberger Berman.

Use this form to set up an inherited IRA account.

Use this form to convert an IRA to a ROTH IRA. This form must be accompanied by a ROTH IRA Application, unless you currently have a ROTH IRA established with Neuberger Berman.

Use this form to request a transfer of assets from an existing Qualified Retirement Plan or 403(b) Custodial Account.

Use this form to establish a Neuberger Berman Prototype Qualified Retirement Plan Account. This form is used for Money Purchase, Profit Sharing and 401(k) Plans.

Use this form to establish a SIMPLE IRA account. Employers who are establishing SIMPLE Plans must complete a SIMPLE Plan Adoption Agreement in addition to executing this application. Before opening a SIMPLE IRA account, please download and read the SIMPLE IRA Disclosure Statement and Custodial Agreement. This document also contains a Q&A about SIMPLE IRA's.

This form should be used to designate or change the beneficiary of your IRA, ROTH IRA, SEP-IRA or SIMPLE Retirement Plan. For residents of Community Property states, you must designate your spouse as the sole primary beneficiary. If anyone else is designated and you are married at the time of your death, your surviving spouse MUST consent to your designation prior to payment.

This form should be used to designate or change the beneficiary of your Keogh, HR-10, Profit Sharing or Money Purchase Pension Plan. If you are married, federal law REQUIRES that you designate your spouse as the sole primary beneficiary. If you designate anyone other than your spouse, your spouse must give notarized consent to your designation. A space for this consent is provided on the back of the Form.

Use this Form to request a distribution from your IRA or Roth IRA. If you are 70½ or older and are taking Required Minimum Distributions from your IRA, please request our 70½ Kit

Use this form to request distributions from your Profit Sharing, Money Purchase, 403(b) or 401(k) plans. Be sure to obtain the Employer signature at the bottom of the form to authorize this withdrawal. Please read Special Tax Notice Regarding Plan Payments.

Use this form to receive regular payments from your IRA.

Use this form to receive regular payments from your qualified retirement plan.

If you are or were a participant in an employer sponsored qualified retirement plan such as a profit sharing, pension or 401(k) plan, you may be eligible to roll over your plan assets to an IRA. If this is your situation, please call our Retail Services Group and ask for a Direct Rollover Kit. This kit contains all the forms you need as well as instructions and information on the tax aspects of a Direct Rollover.