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Financial Professional Authorization


 

The Education Plan Account Owners Can Authorize RIAs to Have Three Levels of Account Management

 

Get immediate online access to your clients' Ascensus-administered 529 plans with 529 QuickView. No more sorting through stacks of paper, fumbling through files, or waiting for the latest account information to be mailed.

Level 1 - Account Inquiry Access

Account Inquiry Access. Authorized to obtain information about my Account(s); change my address of record and receive duplicate Account statements.*

 

Level 2 - Account Inquiry Access, Contributions and Exchanges

Account Inquiry Access, Contributions, and Exchanges. Authorized to obtain information about my Account(s); change my address of record; receive duplicate Account statements; add or update my bank information; make a contribution and change Investment Options for each of the above-referenced Account(s).*

 

Level 3 - Account Inquiry Access, Contributions, Exchanges, and Withdrawals

Account Inquiry Access, Contributions, Exchanges, and Withdrawals. Authorized to obtain information about my Account(s); change my address of record; receive duplicate Account statements; add or update my bank information; make a contribution; change Investment Options and withdraw from the abovereferenced Account(s).*

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RIA Authorization can be provided using page 3 of the paper enrollment form.


ria form
 

*The authority granted herein is limited to the level of authority specified above. The RIA and their firm above shall have no authority to take any other action, including, but not limited to:

  • Establishing or re-establishing convenience services such as telephone and online capabilities on my account(s)
  • Changing the Designated Beneficiary
  • Signing an Enrollment Form or otherwise opening a new registration on my behalf, or transferring assets to a new registration