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Qualified Plans/401k


April 23-24



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.







April 23-24, 2018


The Ballantyne Hotel & Lodge

10000 Ballantyne Commons Pkwy.

Charlotte, NC 28277







Things to know..


You must register to attend and spots are limited so register soon.


Compliant Meeting Format

Our roundtable meetings are thoughtfully structured to comply with our industry’s non-cash compensation rules.  Please Click Here for more information.


Planned Agenda Topics

Our roundtable agendas are developed in conjunction with the meeting attendees 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.  We work in concert with our attendees to construct an agenda focused on current opportunities, issues, and performance results.


Participating Firms

We are fortunate to regularly host some of the most influential organizations in our industry at our roundtable meetings.  We are very appreciative of their continued support and contributions to our meeting discussions.  Click Here to view a sampling of the firms that have participated in our roundtables.


Travel & Accommodations

Representatives from broker dealers, banks and credit unions will be reimbursed for travel expenses incurred up to $600 to attend our meetings.  During the meeting, all meals are complimentary and hotel accommodations (excluding incidentals) are included for the evening of the meeting.


Hotel accommodations for the group have been arranged at the hotel where the meeting is held.  Details regarding your stay will be collected through our on-line registration process.  Accordingly, there is no need to contact the hotel directly.


Sponsorship Opportunities

Our roundtable meetings are made possible through the financial support of our sponsors.   If you are interested in learning more or sponsoring this event, please contact Steve Saltzman at steve.saltzman@saltzmanassociates.com



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9218 Skipaway Drive

Waxhaw, NC



+1 704 243 4512

+1 704 243 4513

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