Broker Check

Plan Participant Services

Face-to-Face Enrollment

  • Assistance with beneficiary forms
  • Explain plan provisions, including Roth vs Regular 401(k) options
  • Assist with salary deferral agreements
  • Discuss investment options available in the plan
  • Monitor the investment options and update, supplement, and replace as needed with the plan sponsor and participants permission
  • Help set realistic retirement goals
  • Help understand the relationships among risk, return, time, and contribution rules
  • Construct a diversified portfolio appropriate to their risk tolerance and return needs
  • Implement the portfolio
  • Annual individual meeting
  • Reallocate the portfolio annually with their permission
  • Assist with rollovers of prior plan assets and IRA accounts to the 401(k) plan
  • Assist with loan requests

Participants That Choose Not to Receive Individual Advice

  • Group enrollment
  • Assist with beneficiary forms
  • Explain plan provisions, including Roth vs Regular 401(k) options
  • Assist with salary deferral agreement
  • Discuss investment options available in the plan
  • Assist with rollovers of prior plan assets and IRA accounts to the 401(k) plan
  • Assist with loan requests