Advise & trade “held away” 401k accounts confidently!
Don’t risk your personal assets by not knowing the rules!
If you trade (with discretion) or advise (for a fee) any “held away” 401Ks, please read on!
THE PROBLEM: When you work with “held away” 401Ks, you invite the DOL and all the ERISA rules into your life, which puts your personal assets at risk!
THE SOLUTION: We created a two fold solution:
1) Online Best Practices Training & Certificate
2) Software to deliver your professional, ongoing advice compliant with the ERISA & SEC rules
SUCCESS: Our advisers are confident in their ERISA Compliance while working with “held away” 401Ks and not worried about risking their personal assets and they use this to close more business!
When it comes to working with “held away” 401Ks, we feel your pain at Plan Confidence.
You don’t have to struggle with:
getting signatures on your ERISA disclosure
creating and following a written prudent process
reviewing all the available investment options
overlaying your model allocation(s)
documenting all of the advice/trades
keeping the documentation for six years
repeating the process every time you advise/trade
We have made 3 things really easy for you!
Seamlessly delivering your advice
Keeping you compliant as an ERISA Fiduciary
Saving you time trading accounts with Pontera
The non-compliant adviser:
Lives in fear knowing they may have to personally restore any losses and payback their fees.
The non-compliant adviser may also lose clients to an adviser who demonstrates they follow the ERISA rules while they don’t!
An adviser with Plan Confidence :
Is confident they are not unnecessarily risking their personal assets.
Learns how to dominate their local market by destroying non-compliant advisers through ERISA compliance!
