The "Code" for Retirement Plan Financial Advisors


I have had the pleasure and opportunity to work in the retirement plan industry for 14 years. I have seen a lot of things and a lot of change, both good and bad. I have worked with hundreds of advisors over these past 14 years and I currently work as counsel for a handful of registered investment advisory (RIA) firms around the country for a flat fee. So I have seen a lot of great work by retirement plan financial advisors and some mistakes they have made over the way. So this “Code” is based on what I have seen working with financial advisors and working with plan sponsors, you may learn a thing or two in helping building your practice. This article is dedicated to the memory of Richard (“Rich”) Laurita, the best third party administration (TPA) salesman I ever worked with who probably could have written this Code in his sleep because of the way he carried himself in business in developing a network of financial advisors.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Ary Rosenbaum, The Rosenbaum Law Firm P.C. | Attorney Advertising

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