Retire4one Solo(k) Sign up Form

Solo(k) Requirements
- An established business with an Employer ID Number (EIN) (This cannot be your SSN) An Employer Identification Number (EIN) is essential for identifying your business entity to the IRS. To obtain an EIN, you can apply online via the IRS's official website, which is the preferred method. The online application is straightforward, requiring the responsible party's valid Taxpayer Identification Number (SSN or ITIN). Once the application is completed and validated during the online session, the EIN is issued immediately. This service is free of charge through the IRS.
- An established business entity type that is allowed to have a 401(k) Your business must be of a type that is eligible for a 401(k) plan. This typically includes most types of businesses as long as they are legally recognized and properly registered.
- Have no employees Solo(k) plans are specifically designed for self-employed individuals or business owners with no employees, making it a streamlined option for solo entrepreneurs to save for retirement.
- You do not own any other businesses that have employees If you own other businesses, they must not have employees to qualify for a Solo(k) Plan. This ensures the plan remains exclusive to solo entrepreneurs.
- If theres an existing Solo 401(k) Plan, it does NOT contain life insurance, real estate, or other outside investment items If transferring from an existing Solo 401(k), ensure it does not include prohibited investments such as life insurance or real estate. The Solo(k) Plan is intended for more traditional investments to secure your retirement.
- Due to Federal regulations, we cannot accept any entity whose nature of business involves the production, possession or sale of marijuana, hemp, or hemp-related business (i.e., CBD oil).
Items to have on hand before continuing
- Business EIN Your Business EIN is a unique identifier for your company in the IRS records.
- Company NAICS Code What is NAICS code for small business? NAICS codes classify businesses based on the particular product or service they supply. A business will generally have a primary NAICS code, but it can also have multiple NAICS codes if it sells multiple products and services. To find your NAICS code, view the NAICS code list at the U.S. Census Bureau.

NAICS Quick Guide
What It Is: A NAICS code categorizes your business activity. It’s a 6-digit code, with increasing specificity from 2 to 6 digits.

Finding Your Code: Visit the official NAICS website and search with business-related keywords. The code starts broadly with the first two digits and becomes more specific with each additional digit.

NAICS Code Search Here: https://www.census.gov/naics/

Entering Your Code: If a shorter code fits your business, simply pad the remaining digits with zeros to make it six digits in total. For instance, if you identify a four-digit code that matches your business, enter it followed by “00.”

Aim for accuracy by selecting the code that most closely represents your primary business activity, completing it to six digits.

Who is setting up this Solo(k)?
Do you have a Financial Advisor?
Your Financial Advisor's Email*
example@example.com
How many Financial Advisors will be on this Solo(k)?
What is your relationship to the owner?*
Your Name*
Firm Name*
Email*
example@example.com
Phone Number*
Please enter a valid phone number.
Your Name*
Full Name
Firm Name (if applicable)*
Email*
example@example.com
Phone Number*
Please enter a valid phone number.

Financial Advisor 1
Advisor Name*
FINRA BD/RIA Firm Name*
Role Type*

Producer (Commission)IAR (Advisory fee)
Split*
The sum of the Split % must equal 100% and be in whole numbers
State Life Insurance License Number for State*
FINRA CRD*
Email*
example@example.com
Phone Number*
Please enter a valid phone number.

Financial Advisor 2
Advisor Name*
FINRA BD/RIA Firm Name*
Role Type*

Producer (Commission)IAR (Advisory fee)
Split*
The sum of the Split % must equal 100% and be in whole numbers
State Life Insurance License Number for State*
FINRA CRD*
Email*
example@example.com
Phone Number*
Please enter a valid phone number.

Firm Contact
Who should be the primary contact at your firm?*
Full Name
Primary Contact Email*
example@example.com
Primary Contact Phone Number*
Please enter a valid phone number.

FTWilliam Section

In order of appearance on csv document
FTW CompanyName
FTW CompanyAddress1
FTW CompanyAddress2
FTW CompanyCity
FTW CompanyState
FTW CompanyZip
FTW CompanyPhoneAC
FTW CompanyPhone
FTW CompanyEmployerID
FTW CompanyTaxYear
FTW EntityType
FTW LLCTaxation
FTW EntityTypeOther
FTW EntityState
FTW CompanyAffilServGrp
FTW CompanyAffiliatePartCo
FTW CompanyContGrp
FTW CompanyContGrpPartCo
FTW Name
FTW ContactPhone
FTW ContactEmail
FTW PlanNumber
FTW PlanLine1
FTW OrigEffectDate
FTW AmendRestate
FTW EffectiveDate
FTW PlanYearEndShort
FTW PlanYearEndShortBegin
FTW PlanFeaturesEffDate
FTW InitAllEmployees
FTW InitAllEmployeesEmployDate
FTW InitAllEmployeesEffDate
FTW InitAllEmployeesCondition
FTW Doc Address Full
FTW Doc Entity Type Number
FTW Doc Entity Type Name
FTW Doc PlanFeaturesEffDate Date Field
Voya Letter of Intent

in order of appearance on document
Voya LOI Plan Name
Voya LOI Company Name
Voya LOI Address
Voya LOI City
Voya LOI State
Voya LOI Zip
Voya LOI EIN
Voya LOI Entity Type
Voya LOI Other Entity Type
Voya LOI Primary Day to day Contact Name
Voya LOI Primary Day to day Contact Email
Voya LOI Primary Day to day Contact Phone
Voya LOI Prior Recordkeeper
Voya LOI Prior Recordkeeper Email
Voya LOI Prior Recordkeeper Phone
Voya LOI Financial Advisor 1 Name
Voya LOI Financial Advisor 1 Firm Name
Voya LOI Financial Advisor 1 Role Type
Voya LOI Financial Advisor 1 License
Voya LOI Financial Advisor 1 Split
Voya LOI Financial Advisor 1 CRD
Voya LOI Financial Advisor 1 Email
Voya LOI Financial Advisor 1 Phone
Voya LOI Financial Advisor 2 Name
Voya LOI Financial Advisor 2 Firm Name
Voya LOI Financial Advisor 2 Role Type
Voya LOI Financial Advisor 2 License
Voya LOI Financial Advisor 2 Split
Voya LOI Financial Advisor 2 CRD
Voya LOI Financial Advisor 2 Email
Voya LOI Financial Advisor 2 Phone
Voya Digest
Voya Digest Plan Name
Voya Digest Company Name
Voya Digest Original Plan Document Effective Date
Voya Digest IRS Plan Number
Voya Digest Fiscal Year End
Information
WHO IS SETTING UP THIS SOLOK
HOW MANY FINANCIAL ADVISORS
DOES YOUR COMPANY HAVE ANY EMPLOYEES
DO YOU OR ANY PARTNERS OWN ANY OTHER BUSINESSES
HOW MANY OWNERS
Owner 1 DOH
Owner 1 DOB
Owner 2 DOH
Owner 2 DOB
Owner 3 DOH
Owner 3 DOB
Owner 4 DOH
Owner 4 DOB
DOES THIS BUSINESS CURRENTLY HAVE A SOLOK
IS THE TOTAL VALUE OF ALL ACCOUNTS GREATER THAN 250000
HAS THIS BUSINESS EVER HAD A SOLOK PLAN OR DOES THIS BUSINESS CURRENTLY HAVE A DEFINED BENEFIT PLAN
WHAT YEAR ARE YOU SETTING UP FOR?
CompanyAddress1
CompanyAddress2
Address1Address2
CompanyCity
CompanyState
CompanyZip
CompanyPhoneAC
CompanyPhone
Date Business Commenced Field
Dates
LAST DAY OF LAST LAST YEAR (12/31/22)

MonthDayYear
Date
FIRST DAY OF LAST YEAR (01/01/23)

MonthDayYear
Date
LAST DAY OF LAST YEAR (12/31/23)

MonthDayYear
Date
FIRST OF THE CURRENT YEAR (01/01/24)

MonthDayYear
Date
CURRENT DATE

MonthDayYear
Date
CURRENT DATE AND TIME

MonthDayYear
Date
Hour MinutesAM/PM Option
FIRST OF THE NEXT YEAR (01/01/25)

MonthDayYear
Date
MIDDLE OF THE NEXT YEAR (07/01/25)

MonthDayYear
Date
FIRST OF NEXT NEXT YEAR (01/01/26)

MonthDayYear
Date
Last Last Year (2022)
Last Year (2023)
Current Year (2024)
Next Year (2025)
Next Next Year (2026)
Current Date and Time Field
Date Business Commenced

MonthDayYear
Date
Compare Commencement Date
Mid Year Entrant Check Month
Mid Year Entrant Check

MonthDayYear
Date
Mid Year Entrant Check Field
Plan Features Needed
Calculation Date

MonthDayYear
Date
Todays Date

MonthDayYear
Date

Important Instructions
Please complete this form on behalf of your client with as much information as possible.

If you are uncertain about any details, please leave the relevant fields blank. Rest assured, your client will have the opportunity to review and amend any information provided or to fill in any omissions before the final submission and signature.

What is the business entity type?
What is your business entity type?

Sole ProprietorshipPartnershipC CorporationS CorporationLimited Liability PartnershipLLC Taxed as Sole ProprietorLLC Taxed as PartnershipLLC Taxed as CorporationOther
If other, please indicate other entity type
Based on the information entered above, it appears that the entity type is either an:

S Corporation

C Corporation

LLC taxed as a Corporation

K1 income does not qualify as retirement plan compensation, clicking 'Next' will confirm that the business provides W2 income
Note: You cannot use your Social Security Number as your Employer Identification Number (EIN)

If there is not an EIN set up for the business, please consult your CPA or learn more here www.retire4one.com/samplelink
Note: Please contact Retire4one if you are unsure if your Entity Type qualifies for a Solo 401(k)

Retire4one is not resposible for Entity Types submitted that are not allowed to have a Solo 401(k)

Does the business have any employees?
To participate in our Retire4one Solo 401(k) the business may not employ any:

Employees that have been employed for longer than 12 months AND they have worked greater than 1,000 hours in any calendar year (even prior to setting up a retirement plan)

or

Employees that have worked greater than 500 hours in 2 consecutive years

By clicking 'Next' you confirm that the business has no employees that match either of these conditions

Learn more about employees and eligibility by clicking here www.retire4one.com
By clicking 'Next' you confirm that the business has NO employees

Does your client or any of their partners own any other businesses?

Only your client, the business owner, and their spouse or business partners can participate in a Solo 401(k)
Do any of these companies form an Affiliated Service Group (ASG) or are a member of a Controlled Group of Corporations?

Affiliated Service GroupControlled GroupNeither

What is an Affiliated Service Group?
An Affiliated Service Group (ASG) is a term used by the Internal Revenue Service (IRS) to describe a group of related organizations that provide services to one another and share a strong connection in their operations.

ASGs are subject to specific rules related to employee benefit plans to ensure that business owners don’t establish separate entities to avoid certain employee benefit obligations, such as retirement plan coverage and discrimination testing.

An ASG typically consists of:

1. A First Service Organization (FSO): This is typically the primary service organization in the group.

2. A Second Service Organization (SSO) or partner: This is an organization or partner that provides services to the FSO or to the clients of the FSO.

3. An organization that has a significant ownership interest in the FSO or that is owned by highly compensated employees (HCES) of the FSO, provided the organization performs services for the FSO or its customers.

There are three main types of ASGs:

1. Traditional Affiliated Service Group: This type of ASG exists when an FSO and one or more SSOs or partners have a service relationship, and the SSO or partner is a shareholder or partner in the FSO.

2. Management Function Group: This occurs when an organization performs management functions for another organization that is not part of the same controlled group, and the organizations are not part of a traditional ASG.

3. Ancillary Service Group: This type of ASG exists when an organization is owned by HCES of another organization and provides services to the other organization or its customers.

Organizations that are part of an Affiliated Service Group must follow specific rules regarding employee benefit plans. They must treat all employees within the ASG as employees of a single employer for determining eligibility and compliance with various employee benefit plan rules, including retirement plans (like 401(k) plans) and certain welfare benefit plans.

Business owners with multiple organizations should be aware of the concept of ASGs and the associated rules.
Non-compliance can lead to penalties and tax consequences. Consulting with a tax professional, attorney, or benefits consultant can help ensure that your business structure and employee benefit plans comply with the Affiliated Service Group rules.

What is a Controlled Group?
A Controlled Group of Corporations is a term used by the Internal Revenue Service (IRS) to describe a group of related corporations that are subject to specific tax and employee benefit plan rules. These rules apply to companies that have common ownership or control and are designed to prevent business owners from establishing multiple separate entities to avoid certain tax and employee benefit obligations. There are three types of controlled groups of corporations:

1. Parent-subsidiary controlled group: This type of controlled group exists when one corporation (the parent)
owns at least 80% of the total combined voting power or value of another corporation’s (the subsidiary)
outstanding stock.

2. Brother-sister controlled group: This type of controlled group occurs when five or fewer individuals,
estates, or trusts collectively own at least 80% of the voting power or value of the outstanding stock of two
or more corporations, and the same individuals also have more than 50% identical ownership in each of
those corporations, taking into account the ownership of each individual only to the extent that the
ownership is identical with respect to each corporation.

3. Combined group: A combined group is a combination of the parent-subsidiary and brother-sister
controlled groups, where at least one corporation is a member of both a parent-subsidiary and a
brother-sister controlled group. Controlled groups of corporations must follow specific rules when it
comes to tax treatment and employee benefit plans, such as:

Taxation: Members of a controlled group are subject to certain limitations on tax deductions and credits, including limitations on the use of net operating losses and tax credits that can be applied
against tax liabilities.

Employee benefit plans: Controlled groups must consider all employees of the member corporations as employees of a single employer when determining eligibility for and compliance with employee benefit plan rules, including retirement plans (like 401(k) plans) and certain welfare benefit plans.

It is essential for business owners with multiple corporations to understand the concept of controlled groups and the associated rules, as non-compliance can lead to significant penalties and tax consequences.

Consulting with a tax professional or attorney can help ensure that your business structure and employee benefit plans comply with the controlled group rules.

List the names of the companies that form an Affiliated Service Group
List the names of the companies that form a Controlled Group
To participate in our Retire4one Solo 401(k) the business or any of the businesses you listed above, may not employ any:

Employees that have been employed for longer than 12 months AND they have worked greater than 1,000 hours in any calendar year (even prior to setting up a retirement plan)

or

Employees that have worked greater than 500 hours in 2 consecutive years

By clicking 'Next' you confirm that the business has no employees that match either of these conditions
By clicking 'Next' you confirm that your client, the business owner, and their spouse or business partners do not own any other businesses

How many owners are there?

If adding a Spouse, include them as one of the owners

Business Information
Legal Business Name
Employer Identification Number
This cannot be your SSN
Business Address

Street Address

Street Address Line 2

CityState

Zip Code
Date of Business Commencement (approximate)

MonthDayYear
Date
Fiscal Year End
NAICS Code
Enter a 6-digit NAICS code, padding with zeros if needed (Ex: 452300)
Lookup the NAICS Code here: https://www.census.gov/naics/
By selecting 'I Agree,' you confirm that the entity’s nature of business does NOT involve the production, possession, or sale of marijuana, hemp, or hemp-related businesses (e.g., CBD oil).

I Agree

NAICS Quick Guide
What It Is: A NAICS code categorizes the business activity. It’s a 6-digit code, with increasing specificity from 2 to 6 digits.

Finding The Code: Visit the official NAICS website and search with business-related keywords. The code starts broadly with the first two digits and becomes more specific with each additional digit.

NAICS Code Search Here: https://www.census.gov/naics/

Entering Your Code: If a shorter code fits the business, simply pad the remaining digits with zeros to make it six digits in total. For instance, if you identify a four-digit code that matches the business, enter it followed by “00.”

Aim for accuracy by selecting the code that most closely represents the primary business activity, completing it to six digits.

Does this business currently have a Solo(k) Plan?
Is the total value of all accounts greater than $250,000 as of the last December 31st?

(including any outstanding loan balances)?
Has this business ever had a Solo(k) Plan or does this business currently have a Defined Benefit Plan?
IRS Plan Number and Original Effective Date

Please locate the following pieces of information from the Plan Document: 'IRS Plan Number' and 'Original Effective Date'
Please note that your plan document might not match the example above
IRS Plan Number
Original Effective Date of previous Solo(k)

MonthDayYear
This is the date the Plan originally began
Who is the prior Recordkeeper?
Prior Recordkeeper Email
example@example.com
Prior Recordkeeper Phone Number
Please enter a valid phone number.
Date of Business Commencement (approximate)*

MonthDayYear
Date
Please provide the date of business commencement to determine eligibility for establishing a Solo 401(k) for the desired year.
What year are you setting up for?
Note: If you are setting up for {lastYear}, you can only make employer contributions. Also, please talk to your CPA abou whether you would still be allowed to submit a contribution in {lastYear} based upon your individual situation.

Day to Day Contact and Signer

Please enter the information of who you want to be the primary contact and who you want to receive and sign the documents
Primary Day to Day Contact
Full Name
Primary Day to Day Contact Email
example@example.com
Primary Day to Day Contact Phone Number
Please enter a valid phone number.
Signer Full Name (Must be an owner)
Signer Email
example@example.com

Review Information

Please double check your submission information here
Owner Information

Owner 1	{owner130}
Percent Owned	{percentOwned1}

Business Information

Business Name	{legalBusiness}
EIN	{employerIdentification}
Business Address	{businessAddress}
Date Business Commenced	{dateOf}
Fiscal Year End	{fiscalYear}
NAICS Code	{naicsCode490}

Plan Information

If anything looks incorrect please use the 'Back' button to navigate to the section that requires editing

Signature Process

We appreciate your time in completing this questionnaire. Here’s what you can expect next:

	On the following page, you will initiate the process for the client by clicking “Send for Signature.” This action will trigger an email to your client for their review.

	The client will then review the entries made, complete any missing fields, process the payment for the set-up fee, and submit the form.

	Shortly thereafter, the client will receive a DocuSign envelope containing all necessary documents to establish the Solo 401(k) Plan.

Voya will notify all parties once the account is successfully created and ready to accept contributions. Meanwhile, for any inquiries regarding Solo 401(k) Plans, please visit our website.

Welcome to Retire4one!

What is your business entity type?
What is your business entity type?*

Sole ProprietorshipPartnershipC CorporationS CorporationLimited Liability PartnershipLLC Taxed as Sole ProprietorLLC Taxed as PartnershipLLC Taxed as CorporationOther
If other, please indicate other entity type*
Based on the information you entered above, it appears that you have either an:

S Corporation

C Corporation

LLC taxed as a Corporation

K1 income does not qualify as retirement plan compensation, clicking 'Next' will confirm that you have W2 income.
Note: You cannot use your Social Security Number as your Employer Identification Number (EIN)

If there is not an EIN set up for the business, please consult your CPA or learn more here www.retire4one.com
Note: Please contact Retire4one if you are unsure if your Entity type qualifies for a Solo 401(k)

Retire4one is not resposible for Entity types submitted that are not allowed to have a Solo 401(k)

Does your company have any employees?
To participate in our Retire4one Solo 401(k) the business may not employ any:

Employees that have been employed for longer than 12 months AND they have worked greater than 1,000 hours in any calendar year (even prior to setting up a retirement plan)

or

Employees that have worked greater than 500 hours in 2 consecutive years

By clicking 'Next' you confirm that the business has no employees that match either of these conditions

Learn more about employees and eligibility by clicking here www.retire4one.com
By clicking 'Next' you confirm that your company has NO employees

Do you or any partners own any other businesses?

Only you, the Business Owner, and your spouse or business partners can participate in a Solo 401(k)
Do you own any companies that form an Affiliated Service Group (ASG) or are a member of a Controlled Group of Corporations?*

Affiliated Service GroupControlled GroupNeither

What is an Affiliated Service Group?
An Affiliated Service Group (ASG) is a term used by the Internal Revenue Service (IRS) to describe a group of related organizations that provide services to one another and share a strong connection in their operations.

ASGs are subject to specific rules related to employee benefit plans to ensure that business owners don’t establish separate entities to avoid certain employee benefit obligations, such as retirement plan coverage and discrimination testing.

An ASG typically consists of:

1. A First Service Organization (FSO): This is typically the primary service organization in the group.

2. A Second Service Organization (SSO) or partner: This is an organization or partner that provides services to the FSO or to the clients of the FSO.

3. An organization that has a significant ownership interest in the FSO or that is owned by highly compensated employees (HCES) of the FSO, provided the organization performs services for the FSO or its customers.

There are three main types of ASGs:

1. Traditional Affiliated Service Group: This type of ASG exists when an FSO and one or more SSOs or partners have a service relationship, and the SSO or partner is a shareholder or partner in the FSO.

2. Management Function Group: This occurs when an organization performs management functions for another organization that is not part of the same controlled group, and the organizations are not part of a traditional ASG.

3. Ancillary Service Group: This type of ASG exists when an organization is owned by HCES of another organization and provides services to the other organization or its customers.

Organizations that are part of an Affiliated Service Group must follow specific rules regarding employee benefit plans. They must treat all employees within the ASG as employees of a single employer for determining eligibility and compliance with various employee benefit plan rules, including retirement plans (like 401(k) plans) and certain welfare benefit plans.

Business owners with multiple organizations should be aware of the concept of ASGs and the associated rules.
Non-compliance can lead to penalties and tax consequences. Consulting with a tax professional, attorney, or benefits consultant can help ensure that your business structure and employee benefit plans comply with the Affiliated Service Group rules.

What is a Controlled Group?
A Controlled Group of Corporations is a term used by the Internal Revenue Service (IRS) to describe a group of related corporations that are subject to specific tax and employee benefit plan rules. These rules apply to companies that have common ownership or control and are designed to prevent business owners from establishing multiple separate entities to avoid certain tax and employee benefit obligations. There are three types of controlled groups of corporations:

1. Parent-subsidiary controlled group: This type of controlled group exists when one corporation (the parent)
owns at least 80% of the total combined voting power or value of another corporation’s (the subsidiary)
outstanding stock.

2. Brother-sister controlled group: This type of controlled group occurs when five or fewer individuals,
estates, or trusts collectively own at least 80% of the voting power or value of the outstanding stock of two
or more corporations, and the same individuals also have more than 50% identical ownership in each of
those corporations, taking into account the ownership of each individual only to the extent that the
ownership is identical with respect to each corporation.

3. Combined group: A combined group is a combination of the parent-subsidiary and brother-sister
controlled groups, where at least one corporation is a member of both a parent-subsidiary and a
brother-sister controlled group. Controlled groups of corporations must follow specific rules when it
comes to tax treatment and employee benefit plans, such as:

Taxation: Members of a controlled group are subject to certain limitations on tax deductions and credits, including limitations on the use of net operating losses and tax credits that can be applied
against tax liabilities.

Employee benefit plans: Controlled groups must consider all employees of the member corporations as employees of a single employer when determining eligibility for and compliance with employee benefit plan rules, including retirement plans (like 401(k) plans) and certain welfare benefit plans.

It is essential for business owners with multiple corporations to understand the concept of controlled groups and the associated rules, as non-compliance can lead to significant penalties and tax consequences.

Consulting with a tax professional or attorney can help ensure that your business structure and employee benefit plans comply with the controlled group rules.

List the names of the companies that form an Affiliated Service Group*
List the names of the companies that form a Controlled Group*
To participate in our Retire4one Solo 401(k) your business or any of the businesses you listed above, may not employ any:

Employees that have been employed for longer than 12 months AND they have worked greater than 1,000 hours in any calendar year (even prior to setting up a retirement plan)

or

Employees that have worked greater than 500 hours in 2 consecutive years

By clicking 'Next' you confirm that you have no employees that match either of these conditions
By clicking 'Next' you confirm that you, your partners, or your spouse do not own any other businesses

How many owners are there?

If adding a Spouse, include them as one of the owners
Add an owner?

If adding a Spouse, include them as one of the owners

Business Information
Legal Business Name*
Employer Identification Number*
This cannot be your SSN
Business Address*

Street Address

Street Address Line 2

CityState

Zip Code
Date of Business Commencement (approximate)*

MonthDayYear
Date
Fiscal Year End*
NAICS Code
Enter a 6-digit NAICS code, padding with zeros if needed (Ex: 452300)
Lookup your NAICS Code here: https://www.census.gov/naics/
By selecting 'I Agree,' you confirm that your entity’s nature of business does NOT involve the production, possession, or sale of marijuana, hemp, or hemp-related businesses (e.g., CBD oil).*

I Agree

NAICS Quick Guide
What It Is: A NAICS code categorizes your business activity. It’s a 6-digit code, with increasing specificity from 2 to 6 digits.

Finding Your Code: Visit the official NAICS website and search with business-related keywords. The code starts broadly with the first two digits and becomes more specific with each additional digit.

NAICS Code Search Here: https://www.census.gov/naics/

Entering Your Code: If a shorter code fits your business, simply pad the remaining digits with zeros to make it six digits in total. For instance, if you identify a four-digit code that matches your business, enter it followed by “00.”

Aim for accuracy by selecting the code that most closely represents your primary business activity, completing it to six digits.

Does this business currently have a Solo(k) Plan?
Plan Information
Is the total value of all accounts greater than $250,000 as of the last December 31st?

(including any outstanding loan balances)?
Has this business ever had a Solo(k) Plan or does this business currently have a Defined Benefit Plan?
IRS Plan Number and Original Effective Date

Please locate the following pieces of information from your Plan Document: 'IRS Plan Number' and 'Original Effective Date'
Please note that your plan document might not match the example above
IRS Plan Number*
Original Effective Date of your previous Solo(k)*

MonthDayYear
This is the date the Plan originally began
Who is your prior Recordkeeper?*
Prior Recordkeeper Email*
example@example.com
Prior Recordkeeper Phone Number*
Please enter a valid phone number.
What year are you setting up for?
Note: If you are setting up for {lastYear}, you can only make employer contributions. Also, make sure to talk to your CPA about the deducability of your contributions towards your {lastYear} tax return.

Day to Day Contact and Signer

Please enter the information of who you want to be the primary contact and who you want to receive and sign the documents
Primary Day to Day Contact*
Full Name
Primary Day to Day Contact Email*
example@example.com
Primary Day to Day Contact Phone Number*
Please enter a valid phone number.
Signer Full Name (Must be an owner)*
Signer Email*
example@example.com

Review Information Before Submission

Please double check your submission information here
Owner Information

Business Information

Business Name	{legalBusiness}
EIN	{employerIdentification}
Business Address	{businessAddress}
Date Business Commenced	{dateOf}
Fiscal Year End	{fiscalYear}
NAICS Code	{naicsCode490}

Plan Information

Please review the information you have provided. If everything is correct, click 'Payment' to proceed to the secure payment page. If you need to make any changes, you can go back and update your information now. Please note that once you proceed to the payment page, you will not be able to return and edit this information
Please verify that you are human*
Should be Empty:

Currently have Solo(k)	{doesThis}
IRS Plan Number	{irsPlan}
Original Effective Date	{originalEffective}
Prior Recordkeeper	{whoIs86}
Prior Recordkeeper Email	{priorRecordkeeper}
Prior Recordkeeper Phone	{priorRecordkeeper88}

Currently have Solo(k)	{doesThis}
IRS Plan Number	{irsPlan}
Original Effective Date	{originalEffective}
Prior Recordkeeper	{whoIs86}
Prior Recordkeeper Email	{priorRecordkeeper}
Prior Recordkeeper Phone	{priorRecordkeeper88}

	After clicking 'Next', you will be able to enter your information in the form fields. Some information may have been pre filled by your Financial Advisor.

	Once all fields are reviewed and completed, a one-time $250 fee is required to finalize the setup of the Solo 401(k) Plan.

	Shortly after clicking 'Sumbit', you will receive a DocuSign envelope containing all necessary documents to establish the Solo 401(k) Plan.

Solo(k) Requirements

Items to have on hand before continuing

Who is setting up this Solo(k)?

Do you have a Financial Advisor?

How many Financial Advisors will be on this Solo(k)?

Firm Contact

FTWilliam Section

Voya Letter of Intent

Voya Digest

Information

CompanyAddress1

CompanyAddress2

CompanyCity

CompanyState

CompanyZip

CompanyPhoneAC

CompanyPhone

Dates

Important Instructions

What is the business entity type?

Does the business have any employees?

Does your client or any of their partners own any other businesses?

How many owners are there?

Business Information

Does this business currently have a Solo(k) Plan?

Is the total value of all accounts greater than $250,000 as of the last December 31st?

Has this business ever had a Solo(k) Plan or does this business currently have a Defined Benefit Plan?

IRS Plan Number and Original Effective Date

What year are you setting up for?

Day to Day Contact and Signer

Review Information

Owner Information

Business Information

Plan Information

Signature Process

Welcome to Retire4one!

What is your business entity type?

Does your company have any employees?

Do you or any partners own any other businesses?

How many owners are there?

Add an owner?

Business Information

Does this business currently have a Solo(k) Plan?

Plan Information

Is the total value of all accounts greater than $250,000 as of the last December 31st?

Has this business ever had a Solo(k) Plan or does this business currently have a Defined Benefit Plan?

IRS Plan Number and Original Effective Date

What year are you setting up for?

Day to Day Contact and Signer

Review Information Before Submission

Owner Information

Business Information

Plan Information