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Section 3.3Client Investment Recommendations & Strategies

Retirement Accounts & Education Savings Vehicles

Details Traditional IRAs, Roth IRAs, 401(k) plans, ERISA standards, 529 plans, Coverdell ESAs, and custodial accounts.

Key Exam Takeaways
  • Traditional IRA: Pre-tax contributions, tax-deferred growth, ordinary income distributions, 10% penalty before age 59½, RMDs at age 73.
  • Roth IRA: After-tax contributions, tax-free growth and qualified withdrawals (5-year rule + age 59½), zero lifetime RMDs.
  • 529 Plans have high aggregate limits and no donor income caps; Coverdell ESAs have a $2,000 annual cap and age 30 liquidation rule.
Common Exam Traps
  • Roth IRA original contributions can ALWAYS be withdrawn tax-free and penalty-free at any time (FIFO accounting).
  • Qualified Domestic Relations Orders (QDROs) are required to divide ERISA qualified retirement plans upon divorce without penalties.

Individual retirement planning relies on tax-advantaged accounts. Traditional IRAs allow eligible individuals to make tax-deductible contributions with tax-deferred compounding; distributions are taxed as ordinary income and are subject to Required Minimum Distributions (RMDs) starting at age 73.

Roth IRAs are funded with after-tax dollars. Earnings compound tax-free and qualified withdrawals (held for at least 5 years and taken after age 59½, death, or disability) are 100% income-tax-free. Roth IRAs carry no required minimum distributions during the owner's lifetime.

Education funding vehicles provide targeted tax incentives. Section 529 Qualified Tuition Programs allow parents and grandparents to contribute large lump sums without donor income phase-outs, growing tax-free for higher education and up to $10,000/yr for K-12 tuition. Coverdell ESAs allow $2,000/yr per child but impose donor income limits and force full liquidation by age 30.

🎯 Knowledge Checkpoint
Knowledge Checkpoint • Section 3.3

An adviser is counseling high-earning parents seeking tax-advantaged vehicles to save for their 5-year-old child's education. Which of the following represents a key limitation of a Coverdell Education Savings Account (ESA) compared to a state-sponsored Section 529 Qualified Tuition Program?