Qualified Plans/401(k)


Bank/Credit Union, wirehouse, national, regional and independent broker-dealers

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.

Consistent with the roundtable concept, all participants afforded equal opportunity to participate in the discussion, without regard to their organization or role. 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.

If would like to inquire about sponsorship opportunities, please contact Brian Harrison or Steve Saltzman by calling 704-243-4512.

Topics Discussed

  • Update and insights on the revised DOL Rule (due out in late 2019)
  • Program & Partner Management Considerations
  • Tactics to improve Financial Advisor participation • Peer-to-peer update on current state of the Qualified Plan business within each BD
  • Regulatory & Risk Updates
  • Considerations for providing financial wellness programs to retirement plans/participants
  • Other topics chosen by our meeting participants


  • Day 1
    12:00 PM - 9:00 PM
    We start with a welcome lunch.
    General Session begins at 1:00 and will be followed by a reception and group dinner.
  • Day 2
    8:00 AM - 1:00 PM
    Breakfast and lunch will be served during General Session

Thanks to our Sponsors