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Subject:  Re: solo 401 can it be rolled Date:  4/7/2012  1:45 PM
Author:  ShiningStar109 Number:  115905 of 123001

Dear Ira,

I have my brokerage accounts with Morgan Stanley Smith Barney and I want to move to another brokerage firm. I'm not sure which one yet. Does anyone know, or know how I can find out :

What are the rules about switching a prototype Smith Barney, or Morgan Stanley Smith Barney, Sole Proprietor 401K plan to another brokerage firm?

I have my own business and have a One Person, Sole Proprietor 401K Plan at Morgan Stanley Smith Barney. I was with Smith Barney when I opened it and they sent me their Template 401K Plan Adoption Agreement to use to create my 401K Plan for my business. At that time I had an Attorney/Accountant Review it for me when I set it up to make sure I did everything correctly. It is currently set up as one 401K plan but with 2 accounts under it, a Simple 401K and a Roth 401K, both under the same 401K Adoption Agreement. Smith Barney created all of the original 401K documents for the Simple 401K and then notified me when I could also open the Roth 401K under the same 401K Plan Adoption Agreement and I chose to do that also.

Do I have to create a new 401K Adoption Agreement at the New Brokerage Firm?

Do all brokerage firms have their own 401K Adoption Agreement for me to create and move my 401K a