Forms & Applications
Open a New Account Online
To open a new account, navigate to the Sign In/Register icon at the top of this page, select Franklin Templeton Client Account, then select Open Account.
Opening an account online is secure and just takes a few minutes.
Franklin Templeton Accounts
The below forms are for Franklin Templeton funds. Do NOT use these forms for Western Asset Money funds.
Top Franklin Templeton Forms & Applications
General
| Title | Description |
|---|---|
| Account Application Code: GOF-APP |
Open a new Franklin Templeton non-retirement mutual fund account for an individual, joint owner, UGMA/UTMA, trust, estate, guardianship, conservatorship, or Investment Only Business Retirement Plan registered with a corporate fiduciary. DO NOT use this application for a TOD, business, or FTIOS retirement account. |
| Account Application for Transfer on Death Registration Code: GOF-APPTD |
Open a new non-retirement Franklin Templeton mutual fund account with Transfer on Death (TOD) registration for an individual or joint owner. To add or update TOD beneficiaries on an existing account, complete the Transfer on Death Registration Form. |
| Business Account Application Code: GOF-APPB |
Open a new Franklin Templeton mutual fund account for a business or legal entity, such as a corporation, partnership, LLC, sole proprietorship, or statutory trust. DO NOT use it for a retirement account. |
| Account Options Form Code: GOF-FAO |
Use this form to add, update, or remove bank instructions, automatic investments, systematic withdrawals, dividend and capital gain payment instructions, or contact information for an existing Franklin Templeton mutual fund account. Depending on the request, a signature guarantee or notarization may be required. DO NOT use this form to add or change distribution options for Coverdell or FTIOS retirement accounts. |
| Change of Dealer Form Code: GOF-FCOD |
Add or change the broker-dealer or financial professional of record for one or more existing Franklin Templeton fund accounts. |
| Customer Identification Form Code: CUST-FORM |
Provide identity information for registered owners or individuals authorized to act on an account, including attorneys-in-fact and business-account signers, when Franklin Templeton requests customer-identification details. |
| Instruction to Terminate Custodianship Code: GOF-TERM |
For an existing UGMA/UTMA account after the former minor reaches the UGMA/UTMA termination age, end the custodianship and re-register the assets in their name. Required account information and proof of age must be provided. Notarization may be required. |
| Investment Advisor Representative (IAR/RIA) Form Code: IAR-FORM |
Authorize an Investment Advisor Representative (IAR) to access and act on your Franklin Templeton account. This authorization does not change the broker-dealer of record. |
| Notification of Legal Name Change Form Code: GOF-FLNC |
Change the legal name on one or more existing Franklin Templeton accounts. Legal documentation or notarization is required. |
| Notification of Lost Share Certificate/Returning an Outstanding Code: LSCD-FORM |
Report a lost, stolen, damaged or destroyed Franklin Templeton share certificate, or return an outstanding original share certificate for processing. |
| Non-Retirement Asset Transfer Form Code: GOF-FNRT |
Transfer non-retirement assets to Franklin Templeton by liquidating external holdings and using the proceeds to purchase Franklin funds, or by transferring eligible Franklin fund shares in kind. A signature guarantee may be required by the releasing financial institution. DO NOT use this form for CDs, annuities, or retirement assets. |
| Code: GOF-NCO | Change the ownership or registration of an existing Franklin Templeton non-retirement account. Depending on the request, a signature guarantee or notarization may be required. DO NOT use this form for retirement, business, or statutory trust accounts. |
| Code: GOF-DIST | Redeem funds from a Franklin Templeton non-retirement account and receive the proceeds by check or bank transfer. Depending on the request, a signature guarantee may be required. DO NOT use this form for a FTIOS retirement account. |
| Shareholder Request Form Code: GOF-FREQ |
Use this form to submit written instructions for a Franklin Templeton account when no specific form applies. Depending on the request, a signature guarantee or notarization may be required. |
| Transfer on Death Registration Form Code: GOF-FTOD |
Use this form to add, update, or remove Transfer on Death (TOD) beneficiaries on an eligible existing Franklin Templeton non-retirement account. To open a new TOD-registered account, complete the TOD Account Application. DO NOT use this form for a FTIOS retirement account. |
| Trusted Contact Person Form Code: RET-DTCP |
For Franklin Distributors accounts without a broker-dealer/financial professional, add or replace a Trusted Contact Person whom Franklin may contact about account administration or possible financial exploitation. Do not use if a broker-dealer/financial professional is listed. |
| Franklin Distributors, LLC. Form CRS | Reference document - not a transaction form. Explains Franklin Distributors, LLC’s brokerage services, fees, conflicts of interest and relationship standards. |
Retirement
| Title | Description |
|---|---|
| IRA Application Code: RIRA-APP |
Open a new Franklin Traditional, Roth, Rollover, Roth Conversion, or inherited beneficiary IRA, with instructions for investments, direct rollovers, transfers, and conversions. Depending on the funding method, a separate transfer/direct rollover, conversion, or distribution form may be required. |
| SIMPLE/SEP IRA Application Code: RSIM-APP |
Open a new Franklin SIMPLE IRA or SEP IRA participant account with FTIOS. Employers establishing a new SIMPLE plan must also complete the applicable employer eContributions forms. |
| eContributions New User Request Form Code: RECON-FNUR |
Authorize a new user to access eContributions for an employer that is enrolled or enrolling. The user can submit contributions, update plan information, and manage participant data. For initial enrollment, include this form with the eContributions Services Employer Application. |
| eContributions Services Employer Application Code: RECON-APPER |
Employers may use this form to enroll a new or existing Franklin SIMPLE or SEP IRA plan in eContributions and electronically submit contributions and related instructions for their plan. This is not an application for a participant IRA. |
| Retirement Plan Designation of Beneficiary Form Code: RRET-FBEN |
Add, update, or revoke primary and contingent beneficiaries for an existing retirement account held by FTIOS as custodian. DO NOT use the non-retirement TOD form for an IRA. |
| IRA Distribution Request Form Code: RIRA-FDIST |
Request a one-time or systematic distribution from a Franklin Traditional, Rollover, Roth/Roth Conversion, SEP, SIMPLE or SARSEP IRA. DO NOT use for beneficiary distributions, RMD-only requests, excess-contribution corrections or recharacterizations. Depending on the request, a signature guarantee may be required. |
| Beneficiary Transfer/Distribution Request Form Code: RRET-FBDST |
After a retirement account owner dies, use this form to transfer or distribute retirement assets to a beneficiary, or to request a distribution from an existing inherited Franklin Templeton IRA. Each beneficiary must complete the required paperwork. Depending on the request, a signature guarantee or notarization may be required. |
| IRA Transfer/Direct Rollover Form Code: RIRA-FTR |
Transfer retirement assets from another institution to a Franklin IRA through a trustee-to-trustee transfer or direct rollover. Do not use this form for Roth conversions or inherited beneficiary transfers. A signature guarantee may be required by the releasing trustee/custodian. |
| IRA Disclosure Statement(s) Booklet (includes Traditional, Roth, SIMPLE IRA) Code: RIRA-DSBK |
Reference booklet - not a transaction form. Contains custodial agreements and required disclosures for Franklin Traditional, Rollover, Roth, SEP and SIMPLE IRAs. |
| IRA Recharacterization Request Form Code: RIRA-FRECR |
Use this form to recharacterize a Roth IRA contribution as a Traditional IRA contribution, or a Traditional IRA contribution as a Roth IRA contribution without changing the contribution’s tax year. DO NOT use this form to return an excess contribution. |
| Notification of Excess/Ineligible Contributions Code: RIRA-FEXES |
Use this form to remove an excess or ineligible contribution and any related earnings from an eligible Franklin IRA or Coverdell ESA. Depending on the request, a signature guarantee may be required. DO NOT use this form for regular distributions or recharacterizations. |
| Required Minimum Distribution Request Form Code: RMD-FORM |
Request a one-time or systematic required minimum distribution (RMD) from a Franklin Traditional, Rollover, SEP, SIMPLE, or SARSEP IRA for which FTIOS serves as custodian. Depending on the request, a signature guarantee may be required. For an inherited or beneficiary account, complete the Beneficiary Transfer/Distribution form. |
| Roth Conversion Request Form Code: RIRA-FCONV |
Convert assets from a Franklin Traditional, SEP or eligible SIMPLE IRA to a Franklin Roth IRA/Roth Conversion IRA. If you do not already have a Franklin Roth IRA, also submit the IRA Application. |
Education Savings
| Title | Description |
|---|---|
|
Franklin 529 College Savings Plan - Program Description |
Reference guide - not a transaction form. Review the Franklin 529 Program Description for plan rules, investment options, fees, expenses and risks before opening or changing an account. |
| Account Application Code: ESNJA-EN |
Open a new Franklin 529 account owned by an individual or registered under UGMA/UTMA. For a trust, business, nonprofit or government owner, use the Entity Account Application. |
| Account Application for an Entity Account Code: ESNJA-ENTEN |
Open a new Franklin 529 account for a trust, estate, business/legal entity, 501(c)(3) organization, or state/local government entity. Individual and UGMA/UTMA owners should use the standard Account Application. |
| Account Features Form Code: ESNJA-AF |
Add, change or remove bank information, recurring contribution instructions, and periodic withdrawals on an existing Franklin 529 account. For withdrawals/distributions, use the Distribution Request Form. |
| Additional Contribution Form Code: ESNJA-AC |
Make an additional contribution to an existing Franklin 529 account, including an eligible check or rollover contribution. For recurring or bank/EFT instructions, use Account Features or online servicing as applicable. |
| Agent Authorization/Power of Attorney Form Code: ESNJA-LPOA |
Authorize or change an individual, corporation or other entity to act as agent/attorney-in-fact for an existing Franklin 529 account, with the level of authority selected on the form. |
| Broker/Dealer Change Form Code: ESNJA-BD |
Change or add the broker-dealer/financial professional of record on one or more existing Franklin 529 accounts. |
| Change of Investment Form Code: ESNJA-EX |
Change the investment option for money already in a Franklin 529 account, subject to plan limits, and/or change how future contributions will be invested. |
| Direct Rollover Out to Roth IRA Form Code: ESNJA-ROR |
Request an eligible direct rollover from a Franklin 529 account to the account beneficiary’s Roth IRA at another financial institution. This moves money out of the 529; use Incoming Rollover for money coming into Franklin 529. |
| Distribution Request Form Code: ESNJA-WD |
Request a full or partial withdrawal from a Franklin 529 account for qualified education expenses, a non-qualified distribution, or an indirect rollover. For an eligible direct 529-to-Roth IRA rollover, use the Direct Rollover Out to Roth IRA Form. |
| Incoming Rollover Form Code: ESNJA-RO |
Move assets directly from another 529 plan or Coverdell ESA into an existing Franklin 529 account. This is an incoming rollover to Franklin; use Direct Rollover Out to Roth IRA for eligible 529-to-Roth rollovers. |
| Payroll Direct Deposit Form Code: ESNJA-PY |
Start or change payroll deductions that are deposited into a Franklin 529 account. If you are opening a new 529 account, enroll first and select payroll direct deposit as the contribution method. |
|
Profile Change Form |
Update profile information on an existing Franklin 529 account, such as legal name, mailing address or phone number. Do not use this form to change the account owner or beneficiary. |
|
Transfer Due to Death of Account Owner Form |
Transfer ownership of a Franklin 529 account after the account owner’s death. For an ownership or beneficiary change not caused by death, use the standard Transfer Form. |
| Transfer Form Code: ESNJA-TR |
Change the account owner or beneficiary on an existing Franklin 529 account when the change is not due to the owner’s death. For a transfer caused by the owner’s death, use Transfer Due to Death of Account Owner. |
| Workplace 529 Verification Form Code: ESNJA-EGV |
For financial professionals: document the employer/advisor arrangement for a Workplace 529 program. This is not an employee 529 account application or contribution form. |
| Coverdell Educations Savings Account Application Code: REDSA-APP |
Open a new Franklin Coverdell Education Savings Account (ESA). To transfer an existing Coverdell ESA to Franklin or change the beneficiary, complete the Transfer of Assets/Change of Beneficiary form. |
| Coverdell Disclosure Statement(s) Booklet Code: REDSA-DSBK |
Reference booklet - not a transaction form. Contains the account agreement and required disclosures for Franklin Coverdell ESAs. |
| Coverdell Education Savings Distribution Request Form Code: REDSA-FDIST |
Use this form to request a distribution from an existing Franklin Coverdell ESA. DO NOT use it for a Franklin 529 plan or retirement IRA. |
| Coverdell Education Savings Account Transfer of Assets/Change of Beneficiary Code: REDSA-WTRAN |
Use this form to transfer an existing Coverdell ESA from another institution to Franklin Templeton or to change the beneficiary of an existing Franklin Coverdell ESA. A signature guarantee may be required by the releasing trustee/custodian. Select the applicable transaction. DO NOT use this form for distributions. |
Charitable Giving
For forms and applications please call Renaissance Charitable Foundation Inc. at (800) 843-7997 or email [email protected].
Putnam Investments
Top Putnam Forms & Applications
Account Management
| Title | Description |
|---|---|
| Putnam Add or Change Bank Account Information | Add or replace bank instructions on eligible Putnam accounts and enable eligible ACH/wire purchase or redemption options. This does not establish or change the schedule or tax instructions of a systematic program; account-type restrictions apply. |
| Putnam Change of Address Form | Change the mailing/residential address on Putnam accounts associated with your SSN/TIN. All owners or authorized parties must sign; a recent address change can temporarily restrict certain phone redemptions. |
| Putnam Distribution Payment Options Authorization (Dividends and Capital Gains) | Change whether dividends and capital gains on a Putnam account are reinvested or paid in cash, including split-payment instructions. |
| Putnam Financial Intermediary Change Request | Add, remove or change the broker-dealer/financial institution and associated financial representative on one or more Putnam accounts. |
| Putnam Letter of Intention to Purchase | Establish a 13-month Letter of Intention to make qualifying Putnam mutual fund purchases and receive the applicable reduced Class A sales charge. Formerly called Statement of Intention. |
| Putnam Name Change Authorization Form | Update an account owner’s legal name on an existing Putnam account. Do not use this form to change ownership, beneficiaries, address or bank information. |
| Putnam Fund Guide | Reference guide - not a transaction form. Use it to find the Putnam fund names/numbers and share classes required on Putnam forms and applications. |
| Putnam Reinstatement Certificate | Reinvest the proceeds of a qualifying Putnam redemption within 90 days under the reinstatement privilege, without a new applicable sales charge, subject to eligibility rules. |
| Putnam Request for Third-Party Statements and Confirmations | Send duplicate Putnam account statements and/or transaction confirmations to an additional third-party mailing address. |
| Putnam Signature Authentication Guidelines (Notary) | Reference guide - not a form. Explains when a notary, Signature Validation Program (SVP) stamp, signature guarantee or Medallion guarantee may be required on Putnam requests. |
| Putnam Signature Authentication Guidelines (Signature Guarantee/Medallion Guarantee) | Reference guide - not a form. Explains signature guarantees and Medallion guarantees used for securities transactions; check the specific Putnam transaction form to see which authentication is required. |
| Putnam Signature Authentication Guidelines (Signature Validation Program Stamp) | Reference guide - not a form. Explains the Signature Validation Program (SVP) stamp for eligible non-securities/account-maintenance requests and compares it with signature and Medallion guarantees. |
| Putnam Substitution W9 Form | Provide or certify the taxpayer identification number (TIN) and federal tax classification for a Putnam account to satisfy IRS reporting requirements and, when applicable, avoid backup withholding. |
| Putnam Systematic Investment/Exchange Plan Application | Establish a new systematic investment from a bank account and/or a systematic exchange between Putnam funds within the same registration. Adding bank information also enables eligible on-demand ACH purchases. To change bank information for an existing program, complete the Add or Change Bank Account Information. |
| Franklin Distributors, LLC. Form CRS | Reference document - not a transaction form. Explains Franklin Distributors, LLC’s services, fees, conflicts and relationship standards for mutual fund and affiliated private-fund clients. |
Non-Retirement
| Title | Description |
|---|---|
| Putnam Certification Regarding Beneficial Owners of Legal Entity Customers | Provide or update required identity information for a Putnam legal-entity account’s 25%+ beneficial owners and control person. This form is also required with a new legal-entity account application where applicable. |
| Putnam Checkwriting Privilege | Add Putnam checkwriting to an eligible non-retirement account invested in an eligible Putnam fund. Not available for retirement, 529, Coverdell, outside-trustee or brokerage accounts; fund and signature restrictions apply. |
| Putnam Cost Basis Accounting Method Election Form | Choose or change the cost-basis accounting method used when taxable Putnam shares are sold or redeemed, such as average cost, FIFO or specific-lot identification. |
| Putnam Designation of Successor for UGMA/UTMA Accounts Form | Designate or replace the successor, and optional contingent successor, custodian for a Putnam UGMA/UTMA minor account if the current custodian resigns, becomes disabled or dies. |
| Putnam Mutual Fund Account Application (New Accounts) | Open a new Putnam non-retirement mutual fund account for an individual/joint owner, UGMA/UTMA, trust, estate, guardian or conservator registration. Legal entities complete the Legal Entity Application; TOD beneficiaries require the TOD form. |
| Putnam Mutual Fund Account Application for Legal Entities | Open a new Putnam mutual fund account for a corporation, partnership, LLC or non-profit foundation. The Certification Regarding Beneficial Owners must also be completed where applicable; other entity types may require different paperwork. |
| Putnam Request for Redemption Nonretirement | Request a one-time or systematic withdrawal/redemption from a Putnam non-retirement mutual fund account. Do not use for retirement accounts or closed-end funds. |
| Putnam TOD Beneficiary Claim Form | For a beneficiary after all owners of a Putnam TOD account have died: claim and transfer the inherited assets to a new or existing Putnam registration. Each beneficiary completes separate paperwork; organization beneficiaries complete the legal-entity transfer/application workflow instead. |
| Putnam Transfer on Death (TOD) Registration | Add, change or revoke TOD beneficiaries for a Putnam non-retirement individual or eligible joint account, including establishing TOD registration. Do not use this form to claim assets after the owner’s death. |
| Putnam Transfer Request Form for Nonretirement Accounts | Transfer or re-register assets from an existing Putnam non-retirement account to a new or existing Putnam registration - for example after an ownership change, death, divorce, trust change or UGMA/UTMA termination. This moves assets within Putnam; it is not an incoming transfer from another firm. |
IRAs
| Title | Description |
|---|---|
| Putnam 5304-SIMPLE Form | For employers: establish an IRS model SIMPLE IRA plan in which eligible employees may choose their own financial institution. Keep the completed form with plan records; do not file it with the IRS. |
| Putnam Asset Transfer/Direct Rollover Authorization - (B) | Move assets from an IRA or employer retirement plan at another institution into a Putnam IRA by transfer or direct rollover. This form may also be used for an eligible conversion of outside IRA assets to a Putnam Roth IRA. If opening a new Putnam IRA, include the appropriate Adoption Agreement. |
| Putnam Beneficiary Retirement Account Required Minimum Distribution Request | Set up Putnam-calculated annual RMDs from an inherited/beneficiary retirement account for which PFTC is trustee/custodian. Complete the regular Retirement Account RMD form for your own non-beneficiary IRA. |
| Putnam Disclosure Statement - IRA | Reference document - not a transaction form. Explains terms, tax rules, eligibility and restrictions for Putnam Traditional and Roth IRAs. |
| Putnam Disclosure Statement - SIMPLE IRA | Reference document - not a transaction form. Explains terms, tax rules, eligibility and restrictions for Putnam SIMPLE IRAs. |
| Putnam IRA Beneficiary Distribution Form | For a non-spouse beneficiary inheriting the original owner’s Putnam IRA, or any beneficiary inheriting an existing Putnam Beneficiary IRA: transfer the inherited assets and/or request a distribution. A spouse inheriting the original owner’s IRA should complete the Spouse Beneficiary form. |
| Putnam IRA Beneficiary Distribution Form for a Spouse Beneficiary | For a spouse inheriting the original owner’s Putnam IRA: transfer inherited assets to the spouse’s own or beneficiary IRA and/or request a distribution. Do not use for assets already held in a Beneficiary IRA. |
| Putnam IRA Forms Booklet (3 Forms) | Combined Traditional/Roth IRA package containing the Account Adoption Agreement (A), Asset Transfer/Direct Rollover Authorization (B), and Roth Conversion Authorization (C), plus guidance on which forms to use. |
| Putnam IRA Designation of Beneficiary Form | Add, change or revoke beneficiaries on an existing Putnam IRA or Beneficiary IRA. For non-retirement account beneficiaries, complete the TOD paperwork instead. |
| Putnam IRA Transfer Request Due to Divorce | Transfer IRA assets from an existing Putnam IRA to a former spouse’s new or existing Putnam IRA because of divorce or legal separation. Required divorce/legal documentation and matching IRA-type rules apply. |
| Putnam Request for IRA Distribution | Request a one-time or systematic distribution from a Putnam IRA or Beneficiary IRA, including eligible direct rollovers out to an employer plan. For annual systematic RMDs, complete the appropriate RMD form; do not use for IRA-to-IRA transfers. |
| Putnam Request for Return of Excess Contribution | Correct an excess contribution in a Putnam Traditional or Roth IRA by returning the excess and, when required, associated earnings. Do not use to recharacterize a contribution. |
| Putnam Retirement Account Required Minimum Distribution Request | Set up Putnam-calculated annual RMDs from your own Putnam Traditional, Rollover, SEP, SARSEP or SIMPLE IRA. Do not use for beneficiary/inherited retirement accounts or plans held with another trustee/custodian. |
| Putnam Roth IRA Conversion Authorization - (C) | Convert assets from an existing Putnam Traditional, Rollover, SIMPLE, SEP or SARSEP IRA to a Putnam Roth IRA. If the assets are at another institution, complete Asset Transfer/Direct Rollover (B); if opening a new Roth IRA, also submit the Adoption Agreement. |
| Putnam Self-Certification for Late Rollover Contribution | Self-certify an eligible reason for completing an IRA rollover after the usual 60-day deadline when Putnam is accepting the late rollover contribution. |
| Putnam SEP Prototype Plan Adoption Agreement | For employers: establish a Putnam SEP prototype plan before participants open their individual SEP IRAs. Participants then complete the SEP IRA Adoption Agreement. |
| Putnam SIMPLE IRA Adoption Agreement | For an employee/participant: open a Putnam SIMPLE IRA under an employer’s existing SIMPLE IRA plan. The employer must establish the plan first. |
| Putnam SIMPLE IRA Payroll Processing Form | For SIMPLE IRA plan sponsors using payroll processing: add or update the company bank account and authorize Putnam to debit employer/employee contribution amounts for electronic deposit to participant SIMPLE IRAs. |
| Putnam Simplified Employee Pension Plan IRA Adoption Agreement | For a participant: open a Putnam SEP IRA under an employer’s existing Putnam SEP prototype plan. The employer must establish the SEP plan first. |
| Putnam Traditional or Roth IRA Adoption Agreement | Open a new Putnam Traditional or Roth IRA, including an IRA for a minor where eligible. For transfers/rollovers from another institution or conversions from an existing Putnam IRA, additional forms are required. |
Coverdell ESA
| Title | Description |
|---|---|
| Putnam Coverdell Education Savings Account Adoption Agreement | Open a new Putnam Coverdell ESA for a beneficiary; the account director must be the beneficiary’s parent or legal guardian. For a direct transfer from another institution, also complete the Asset Transfer Authorization. |
| Putnam Coverdell Education Savings Account Asset Transfer Authorization | Transfer an existing Coverdell ESA directly from another financial institution to a new or existing Putnam Coverdell ESA. If opening a new Putnam ESA, also complete the Adoption Agreement. |
| Putnam Disclosure Statement - Coverdell ESA | Reference document - not a transaction form. Explains terms, eligibility, tax rules and restrictions for Putnam Coverdell ESAs. |
| Putnam Request for Coverdell ESA Distribution | Request a one-time, partial or systematic distribution from an existing Putnam Coverdell ESA. Use the Asset Transfer Authorization for an incoming transfer from another financial institution. |
Western Asset Money Fund Accounts
To request forms for Western Asset Money fund accounts please call Shareholder Services, at 1-800-625-4554, Monday through Friday, 8:00 am – 5:30 pm (ET).