Forms

Forms and Documents

Your clients can manage their 529 accounts in three ways:

Log in to their account online
Call our Contact Center at 1-866-574-3542
Complete the appropriate form and mail it to the address listed on the form. The following forms are specifically for The Hartford^® SMART529^® plans.

Core Documents
The Hartford SMART529 Brochure	The Hartford SMART529 Brochure
The Hartford^® SMART529^® CUSIP Symbols	CUSIP symbols for The Hartford SMART529

For additional The Hartford SMART529 sales material, please go to Forms and Literature.

Form/ Document	Used To	Requirements
Account Application Form	Open a new account.	Required information includes: Social Security numbers for the account owner and designated beneficiary A residential mailing address for the account owner W-9 Certification with the account owner signature. See the Offering Statement for details.
Account Features Form	Add, update or delete: Automatic Investment Program (AIP) / Electronic Funds Transfer Bank information Interested party information Systematic Exchange Program Systematic Withdrawal Program	To qualify for a reduced sales charge, your client must meet eligibility requirements. Form requires the account owner signature. See the Offering Statement for details.
Account Information Change Form	Add or change a Successor Owner Update or change: Address Telephone number Email address Client's name Owner of the account	A Successor Owner can be added or updated over the phone or online after an account is established. Name changes require: A notarized signature guarantee of your client's old and new signature by an authorized officer of a bank, broker or other qualified financial institution, OR A certified copy of the appropriate legal documents establishing the name change. A notarized signature guarantee is also required to change the account owner.
Payroll Direct Deposit	Add, change or delete Payroll Direct Deposit instructions.	Once the form is submitted, the client will receive a Payroll Direct Deposit Confirmation Form, which must be signed and submitted to the employer's payroll department. Payroll direct deposit will not take effect until the employer has accepted the signed form.
Designated Beneficiary Change	Transfer all or part of the balance in the account to a new Designated Beneficiary.	This form must be signed by the account owner. See the Offering Statement for a list of eligible beneficiaries. Note: If the new beneficiary is not an eligible family member, the change will be considered a non-qualified distribution. Non-qualified withdrawals are taxable as ordinary income to the extent of earnings and may also be subject to a 10% federal income tax penalty.
Distribution Request Form	Request a full or partial qualified or non-qualified distribution.	A signed form is required for each type of distribution being requested (qualified or non-qualified). We are required to file an IRS Form 1099-Q for distributions made during the calendar year.
Incoming Rollover/Transfer	Initiate a direct rollover from: Another 529 plan Education Savings Account (ESA) Qualified Savings Bond (EE Savings Bond) Another savings account (mutual fund, bank account, CD, etc.) to an existing account.
Employer Group Verification Form	Financial professionals should use this form to identify Employer Groups where they have an arrangement to represent new account owners for The Hartford SMART529 Plan.	This form must be signed by the Branch Manager and the 529 Program Manager. The signed Employer Group Verification Form must accompany New Account Applications.
Agent Authorization/ Limited Power of Attorney	Add a Registered Investment Advisor (RIA) and add Trading Authority to an account. Unless authorized, only the account owner and employers of the Program Manager and its affiliates can access account information and make discretionary transactions.	To authorize financial professional access, your client must select an Authorization Level and sign the form under the witness of a notary. RIAs are automatically provided Level 3 access for SMART529.
Agent Certification Form	Add a Power-of-Attorney to SMART529 Account(s) if you are an agent pursuant to an existing Power-of-Attorney document.	Note: This form must be notarized and submitted along with a copy of the Power-of-Attorney document to complete this request.
Broker Dealer Change Form	Change the financial professional firm listed on a SMART529 Account.	This form must be signed by both the Account Owner and Financial Professional. Section 3 should be completed by your new Financial Professional
Offering Statement	Provides descriptions of the underlying funds, risks and considerations, and the participation agreement for this plan.
Direct Rollover Out to Roth IRA Form	Initiate a direct rollover of assets from your SMART529 Account to an existing Roth IRA account established for the benefit of the Beneficiary.	In order to avoid federal income tax or penalties, please ensure you meet the following requirements prior to submitting the form: The 529 plan account must be open for 15 or more years. Contributions and associated earnings that you transfer to the Roth IRA must be in the 529 plan account for more than 5 years. A lifetime maximum amount of $35,000 per Designated Beneficiary may be rolled over from 529 plan accounts to Roth IRAs. 529 plan assets can only be rolled over into a Roth IRA maintained for the benefit of the Designated Beneficiary on the 529 plan account. 529 plan assets must be sent directly to the Roth IRA. Roth IRA income limitations are waived for 529 plan rollovers to Roth IRAs. The Roth IRA contribution is subject to the Roth IRA contribution limit for the taxable year applicable to the Designated Beneficiary for all individual retirement plans maintained for the benefit of the Designated Beneficiary. The rollover is consistent with current IRS guidance.
Power of Attorney Form	Designate an individual, who is not subject to an existing Power-of-Attorney, as your agent, with complete authority to act on your SMART529 account(s)	This form must be signed by the account owner and designated agent. It must also be notarized.

SMART529 is a college savings plan offered by the Board of Trustees of the West Virginia College and Jumpstart Savings Programs and administered by Hartford Funds Management Company, LLC ("HFMC").

Investments in SMART529 are not guaranteed or insured by the State of West Virginia, the Board of Trustees of the West Virginia College and Jumpstart Savings Programs, the West Virginia State Treasurer's Office, HFMC, The Hartford Financial Services Group, Inc., the investment sub-advisors for the Underlying Funds or any depository institution and are subject to investment risks, including the loss of the principal amount invested, and may not be appropriate for all investors.

The Hartford SMART529 is available to all investors. West Virginia (WV) provides certain tax advantages to WV taxpayers that invest in The Hartford SMART529. Before investing, an investor should consider whether the investor’s or designated beneficiary’s home state offers any state tax or other state benefits such as financial aid, scholarship funds, and protection from creditors that are only available for investments in such state’s 529 plan.

This information is written in connection with the promotion or marketing of the matter(s) addressed in this material. The information cannot be used or relied upon for the purpose of avoiding IRS penalties. These materials are not intended to provide tax, accounting or legal advice. As with all matters of a tax or legal nature, your clients should consult their own tax or legal counsel for advice.

Investors should carefully consider the investment objectives, risks and charges and expenses of SMART529 and its Underlying Funds before investing. This and other information can be found in the Offering Statement for SMART529 and the prospectuses or other disclosure documents for the Underlying Funds. Please read them carefully before investing or sending money. For a copy of the Board of Trustees of the West Virginia College and Jumpstart Savings Programs privacy policy, please click here. SMART529 college savings plans are distributed by Hartford Funds Distributors, LLC. Member SIPC

"The Hartford" is a registered trademark of Hartford Fire Insurance Company.

"SMART529" is a registered trademark of the Board of Trustees of the West Virginia College and Jumpstart Savings Programs.

"The Hartford" is The Hartford Financial Services Group, Inc. and its subsidiaries.

4016217