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NAV Transfer/Rollover Program

Do your clients need a change? The Hartford offers the NAV Transfer/Rollover program for The Hartford SMART529

Program Highlights

Subject to the conditions below, the front-end load normally associated with Class A share purchases is waived when contributions from other 529 plans are rolled over to a 529 plan managed by The Hartford.

 

How to Participate

Firms that wish to participate in the NAV Transfer/Rollover Program must 1) have an executed Sales and Supervision Agreement, and 2) must then submit a signed NAV Transfer/Rollover Program Agreement. A firm's participation in the program is effective the first day of the month following receipt of the NAV Transfer/Rollover Program Agreement by The Hartford.

 

If rolling over from an in-state to an out-of-state 529 plan, some states may require the recapture of prior state tax deductions. Clients must also consider possible withdrawal charges by their existing plan, market value adjustments and differences in ongoing investment fees. As with all matters of a tax or legal nature, your clients should consult their own tax or legal counsel for advice.

 

To obtain a copy of this NAV Transfer/Rollover Program Agreement, contact:

Dealer Support
(888)-843-7824, Option 2 - Ext 14130
MutualFundsDealerSupport@Hartfordlife.com

 

Qualifying Transfers/Rollovers

rollovers must be received directly from the original plan.
rollovers must come into A share class to receive NAV pricing.
rollover assets are subject to an 18 month 1% Contingent Deferral Sales Charge (CDSC).
All subsequent contributions will be subject to the standard A share sales charge and CDSC schedules.

 

Commissions on Qualifying Rollovers

You will be paid a 1% up-front commission and standard trail commission for A share purchases. No other up-front commission will be paid on the transfer/rollover.

Please note: For firms that sign the NAV Transfer/Rollover Program Agreement, all transfer/rollovers into A Shares will be treated as part of the program for compensation purposes.

Refer to the current Offering Statement and the Sales and Supervision Agreement for additional details and requirements.

 

Questions?

If you have any questions, please contact The Hartford at 1-800-456-PLAN (7526) Monday through Thursday, 8:15 AM to 7:00 PM and Friday 8:15 AM to 5:00 PM ET.

The Hartford reserves the right to amend or cancel the NAV Transfer/Rollover Program at any time without prior notice.

Rollovers must be submitted in accordance with the rules of the program as more fully described in the offering statement, as amended from time to time.

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SMART529 West Virginia board logo

SMART529 is offered by the West Virginia Prepaid Tuition and College Savings Program Board of Trustees and is administered by Hartford Life Insurance Company.

Investments in SMART529 are not guaranteed or insured by the State of West Virginia, the Board of Trustees of the West Virginia College Prepaid Tuition and Savings Program, the West Virginia State Treasurer's Office, Hartford Life Insurance Company, 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 SMART 529. 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. 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 West Virginia Prepaid Tuition and College Savings Program Board of Trustees.

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