403 (B) Client - Having Trouble Getting Former Employer Signature | Ed Slott and Company, LLC

403 (B) Client - Having Trouble Getting Former Employer Signature


I have a client with a 403 (B) from her former employer. She is no longer working. She’s looking to process a direct rollover for the full balance of her 403(b) into her IRA and is having a lot of trouble getting a signature from her former employer. She worked for a school district – the Tolland BOE. She contacted the school district and they don’t know who can sign. They contacted their TPA and they are saying they don’t have record of her being part of their plan. No one who actually works for the school district is offering to sign the paperwork.

I've reached out to the custodian of the 403 (b) for further guidance and they said " Unfortunately we cannot advise when it comes to who can sign the paperwork. The signor would have to be an authorized signer for the company. The client will have to work with her former employer to get the request signed and we require the paperwork to be signed per IRS guidelines."

Has anyone every come across this issue or have any feedback on how the client should proceed as far as getting a signature from the former employer?

Thank you.


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