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Mutual Fund Forms and Applications

Applications

Application Description Download
Beneficiary IRA Kit Use to open a Beneficiary IRA or Beneficiary Roth IRA account. This kit also includes an Appointment of Financial Professional form. This kit may not be used to open any other type of account.  
Coverdell Education Savings Account Kit Use to open a Coverdell ESA account. This kit also includes Appointment of Financial Professional and Coverdell ESA Incoming Transfer Request forms. This kit may not be used to open any other type of account.  
IRA Kit (for Traditional, Roth, and SEP IRAs) Use to open a Traditional, Rollover, Roth, or SEP IRA account. This kit also includes Appointment of Financial Professional and IRA Transfer/Direct Rollover Request forms. This kit may not be used to open a non-IRA account.  
Application Description Download
New Account Kit Use to open a new Individual, Joint, UGMA, Trust, Corporation, or Association/Partnership account. This form is also used to open an account for some self-directed retirement plans. This form may not be used for ETFs or to open any type of IRA.  
SIMPLE IRA Kit Use to open a SIMPLE IRA account. This kit also includes Appointment of Financial Professional and IRA Transfer/Direct Rollover Request forms. This kit may not be used to open any other type of account.  

Forms

Form Description Download
403(b)(7) Death Claim Request Use to transfer shares to a new account upon the death of a 403(b)(7) account owner. (Beneficiaries of all other account types should complete the Death Claim Request form instead.)  
403(b)(7) Distribution Form Use this form to request distributions from your 403(b)(7) account.  
Account Change Form Use to change your address, dividend distribution options, or retirement account beneficiaries. Also use to name an authorized (non-financial-professional) individual.  
Appointment of Financial Professional Use to appoint and authorize a financial professional on an account.  
Automatic Investment Plan Request Use to establish an automatic investment plan (AIP) for an account.  
Bank Information & Alternate Payee Form Use to add or replace wiring instructions, add or replace ACH instructions, or add an alternate check payee.  
Certification Regarding Beneficial Owners Use to disclose beneficial owner information for legal entity accounts.  
Cost Basis Method Election Form Use to change your account-level default cost basis calculation method or revoke the use of average cost.  
Coverdell ESA Incoming Transfer Request Use to transfer an existing Coverdell ESA account from your current custodian to Guggenheim Investments.  
Death Claim Request Use to transfer shares to a new account upon the death of an account owner or trustee. (Beneficiaries of 403(b)(7) accounts should complete the 403(b)(7) Death Claim Request form instead.)  
Document Delivery Change Form Use to change your delivery preferences for statements, confirmations, prospectuses, and other documents.  
Form Description Download
Dollar-Cost Averaging Request Use this form to request dollar-cost averaging within an account via fund exchanges.  
Internal Roth Conversion Request Use to convert an existing Guggenheim Investments IRA to a Guggenheim Investments Roth IRA.  
Investment Slip May be used to accompany a deposit.  
IRA Contribution Form Use to make a one-time contribution or an indirect (60-day) rollover into an IRA account.  
IRA Distribution Form Use to request distributions from IRA accounts. (Use the Required Minimum Distribution Form for required minimum distributions.)  
IRA Transfer/Direct Rollover Request Use to transfer or rollover IRA assets from another IRA custodian to Guggenheim Investments.  
Mutual Fund Transfer Request Use to transfer non-retirement assets from another firm to Guggenheim Investments.  
Required Minimum Distribution (RMD) Form Use to request required minimum distributions from IRA accounts. All other IRA distributions should be requested using the IRA Distribution Form.  
Systematic Withdrawal Plan Request Use to set up systematic withdrawals from your Guggenheim Investments account.  
Transfer-on-Death Registration Use to add transfer-on-death instructions to a non-retirement account.  
W-9 Form (Request for Taxpayer ID) Use IRS Form W-9 for SSN/TIN certification or to claim exemption from backup tax withholding. Note: This is not a Guggenheim Investments form; it is provided only as a courtesy.  
Withdrawal Form Use to request a redemption from a non-retirement account.  

For Advisor Use ONLY  

Form Description Download
Financial Professional Web Access Request Use to request Rep- or Branch-level web access to TradeRydex.com  
Group Account Setup Request Use form to establish a new trading group or request Group-level web access to TradeRydex.com.  
Form Description Download
Share Class Conversion Request Use to convert an account from one share class to another.  
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Guggenheim Investments represents the following affiliated investment management businesses of Guggenheim Partners, LLC: Guggenheim Partners Investment Management, LLC, Guggenheim Wealth Solutions, LLC, Security Investors, LLC, Guggenheim Funds Distributors, LLC, Guggenheim Funds Investment Advisors, LLC, Guggenheim Corporate Funding, LLC, Guggenheim Partners Europe Limited, Guggenheim Partners Japan Limited, and GS GAMMA Advisors.

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This website is directed to and intended for use by citizens or residents of the United States of America only. The material provided on this website is not intended as a recommendation or as investment advice of any kind, including in connection with rollovers, transfers, and distributions. Such material is not provided in a fiduciary capacity, may not be relied upon for or in connection with the making of investment decisions, and does not constitute a solicitation of an offer to buy or sell securities. All content has been provided for informational or educational purposes only and is not intended to be and should not be construed as legal or tax advice and/or a legal opinion. Always consult a financial, tax and/or legal professional regarding your specific situation. Investing involves risk, including the possible loss of principal.