Financial Institutions offering
retirement planning services
face significant penalties for
non-compliance of federal
regulations. Are you at risk? Find
out how well you really know your
Qualified Retirement Plan Business.


Qualified Retirement Planning service for your institution.

With over 60 years of experience in the industry, our firm helps you to identify, measure and grow your Qualified Retirement Plan business and stay on top of continually changing regulations.

Set Up

  • Establish Financial Advisor procedures and services (Fiduciary/Non-Fiduciary)
  • Establish Revenue compensation arrangements
  • Provide Disclosure Documents for 408(b)(2)
  • Creation of Procedures for 404(a)-5 Self-directed Brokerage platforms
  • Review RFP/Proposal processes
  • Establish systematized data gathering and reporting
  • Develop acceptable product vendors and services
  • Recruiting and Client profile documentation
  • Retirement Plan Business development - webpage – "ask the expert" corner
  • Structure retirement business program with the necessary tools (i.e. Client Profile, commission systems) – includes documentation

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