Qualified Plans/401k Roundtable 2018 | Saltzman Associates | 23 April 2018 | The Ballantyne Hotel & Lodge, 10000 Ballantyne Commons Pkwy, Charlotte, NC 28277, USA

Join us for the Qualified Plans/401k Roundtable.

This roundtable discussion group is focused on strategies and solutions for financial services firms and their Financial Advisors providing Qualified Plans/401(k)s to their clients. Encompassing more than 170,000 plans with $1.3 trillion in assets, small and mid-sized 401(k) plans present a significant opportunity for firms and Advisors.

Attendees will include executives from wirehouse, national, regional, and independent broker dealers, banks, and credit unions whose Financial Advisors are currently engaged in or contemplating supporting their clients with Qualified Plans. We also include other industry experts, including representatives from plan providers/administrators, service providers, and other related firms.

Planned Agenda Topics

• Considerations for Qualified Plan service providers
• Tactics to improve Financial Advisor participation
• Peer-to-peer update on current state of the Qualified Plan business within each BD
• Learnings from recent excess fee litigation
• Investment fiduciary service levels for 401(k) Advisors: 3(38) vs. 3(21)
• Other Topics as submitted by participants
• Fiduciary Rule risk mitigation through outsourcing

Our roundtable meetings are structured so that all participants have an opportunity to gain insights from the discussion by contributing their perspective and experiences, as well as being able to ask questions of their peers. And thanks to the support of our sponsors, there is no cost to participate.

2018 Sponsors

• Securian
• Dtcc