Rollovers and Transfers

Rollover into Individual 401(k) Plans

Both the OppenheimerFunds SingleK and PioneerFunds Uni-K provide participants the flexibility to consolidate all your existing qualified plan holdings into your Individual 401(k) account.  This often is a way to simplify your retirement plan strategy, save on custodial fees, and take advantage of the institutional pricing offered through this program that you may not be getting on your individual accounts.  The procedure to roll your existing qualified plan assets will depend on the type of plan account that currently holds your investments.  Please use the following guidelines to help explain the process.

For 401(k), 403(b), Profit Sharing Plan, ESOP, 457 or Pension Plan assets held with an employer plan:

Step 1:  Contact your previous employer or the administrator for the plan and request a Distribution Form.

On the Distribution Form, indicate that you are requesting a "Direct Rollover" to a Qualified Plan with no withholding.  (Note, your form's language can vary.)  The form will normally ask you how your rollover check should be directed.  You should state the following:

For OppenheimerFunds SingleK Plans:

Payable to:  OppenheimerFunds, FBO "Your Name" "Your SS#" SIngleK
Attn:  Retirement Plans/Team Services, P.O. Box 5390, Denver, CO  80217-5390

For PioneerFunds Uni-K Plans:

Payable to:  PioneerFunds, FBO "Your Name" "Your SS#" Uni-K
Attn: Retirement Plans, Boston, MA 

(Note, in lieu of an account number for your new plan, you can use your Social Security Number if such information is requested on the form.)

Step 2:  Complete the appropriate transfer form.  You can download below, and mail/fax this form directly to our offices for review at 262-754-5584 or Wangard Investment Consulting, 20800 Swenson Drive, #170, Waukesha, WI  53186.  We will process this form with your provider for you.  If you have already received a check from your preview retirement plan directly, please include it with this form when you mail it to us.

OppenheimerFunds SingleK Transfer Form (download here)
Pioneer Uni-K Transfer Form (coming soon)

For IRAs, SEPs, and SimpleIRAs

For these plan types, OppenheimerFunds or PioneerFunds can directly solicit for your transfer.  If you are currently holding any OppenheimerFunds or PioneerFunds mutual funds and are using the respective Individual 401(k) programs, please contact us at 1-877-444-5344 to discuss the potential for an in-kind transfer for your benefit.  We will help you analyze your current holdings and pricing in comparison to that offered through this program for potential long term savings.  If you are holding securities in your retirement account which you plan on liquidating, it may be to your advantage to transfer your shares to an account with our firm for preferred liquidation pricing, prior to your transfer.  Please contact us for additional guidance.

One Step:   Complete the appropriate transfer form.  You can download and mail/fax this form directly to our offices for review at 262-754-5584 or Wangard Investment Consulting, 20800 Swenson Drive, #170, Waukesha, WI  53186.  By completing and signing this form, you are instructing your provider to directly request a rollover from your previous retirement plan account.  This form also helps your provider understand how you would like your rollover proceeds invested, if different from your current allocation percentages for contributions.  Please forward this form to us.  If you have already received a check for your rollover, please include your check with this form.  Normally, all direct transfers are forwarded directly to your investment plan provider. 

     OppenheimerFunds SingleK Transfer Form (Download Here)
     PioneerFunds Uni-K Transfer Form (Coming Soon)

For rollovers into an OppenheimerFunds IRA, SEP or SIMPLE IRA established through this program, please contact us 1-877-444-5344 for appropriate procedures and forms.

Mutual funds are sold by prospectus.  Please carefully consider the Fund's investment objectives, risks and charges and expenses before investing.  The Fund's prospectus, which contains this and other information about the Fund, can be obtained by calling 877-444-5344.  Please read it carefully before you invest.  

Securities and Insurance Products: 

For information, call toll free 877-444-5344 or refer to www.NationalK.com.  Wangard Investment Consulting is the owner and is solely responsible for content on www.NationalK.com.  Oppenheimer funds are distributed by OppenheimerFunds Distributor, Inc., and Pioneer funds are distributed by PioneerFunds Distributor, Inc., and are offered for sale to investors by the Wangard Investment Consulting. Shares of Oppenheimer funds and Pioneer funds are not deposits or obligations of any bank, are not guaranteed by any bank, are not insured by the FDIC or any other agency, and involve investment risks, including the possible loss of the principal amount invested. Wangard Investment Consulting is not a legal or tax advisor, and therefore any information provided in this regard is under the sole authority of the participant to apply such information and act according to IRS rules and provisions. However, Wangard Investment Consulting will be glad to work with you, your accountant, tax advisor and/or attorney to help you meet your financial goals. The retirement plan options offered through this program are participant directed programs. Wangard Investment Consulting does not have discretionary authority to direct the investment selection on behalf of account holders and is not responsible for investment results achieved based on this participant direction.  The associates of the Wangard Investment Consulting are registered to provide investment services in AL, AZ, AK, CA, CO, CT, DC, DE, FL, GA, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, WA, WI, WV. 

Investment products and services offered through Wachovia Securities Financial Network, LLC (WSFN), Member FINRA & SIPC.  Wangard Investment Consulting is a separate entity from WSFN.  Wangard Investment Consulting (WIC) and WSFN are not affiliated with FACT or firms working on their behalf.  You may contact the investment firms at: OppenheimerFunds Distributor, Inc. (OFDI), 498 Seventh Avenue, New York, NY  10018 and  PioneerFunds Distributor, Inc., 60 State Street, Boston, MA  02109. While WIC and WSFN offer clients access to a wide variety of fund choices, clients will be limited to Oppenheimer fund choices and Pioneer fund choices indicated when participating in this preferred pricing program. (11/06)