Click here to learn more about our financial professionals by visiting FINRA's BrokerCheck.

Employee's Retirement 401(k) / 403(b) Services

Statement of Values

401(k) / 403(b) Services

  • Independent Financial Advisor, we work with many different 401(k) / 403(b) plan providers
  • Provide independent Benchmarking and find the plan that fits your companies needs
  • Customized plan as an incentive for your management team
  • Find the most competitive, cost efficient retirement plan for your employees under 408(b)(2)
  • Oversee the education and enrollment process with the latest in technology
  • Help you to be 3(16) complaint

Employees Education & Communications

  • A Financial workshop to educate your employees on financial matters
  • Monthly e-newsletter
  • Quarterly Newsletter and special reports on most current planning options and strategies
  • Special Annual/Semi Annual Review - meet in person to update your investment portfolio

Investment Choices

  • Investments Advisor Representative helps you select a diverse set of investments
  • Put you on track with your Investment Policy Statement
  • Fiduciary responsibility, we share in this responsibility as a 3(21) & 3(38) fiduciaries
  • Help you review your top 20 fiduciary responsibilities as a plan sponsor
  • Help you to be 404(c) complaint

Client Services

  • Register and review plan with new employees
  • Retirement planning with employees as they retire
  • Answer questions directly and advise investments with your employees
  • At year-end, we can help you conduct a comprehensive annual plan review to evaluate your plans performance and overall success for the year