Overview

I am the Manager/Owner of an OSJ with Securities America. We have 42 Financial Advisors affiliated with my OSJ. We manage qualified retirement plans including 403(b), 401(k), and 457(b). We establish these plans and then our advisors service the employees of the various groups. This provides us with a tremendous number of on-going client prospects. We use our relationship with these groups to provide financial and estate planning to a great number of the qualified retirement participants. Because we manage so many of the types of plans our monthly "flow" from the various payroll slots is tremendous. In most of the plans that we manage we encourage the plan sponsors to add the option of professional third-party money management as an option for their employees. As a result, about 80% of the people who enroll in qualified plans that we manage choose the option to have their money professionally managed. Obviously, the qualified retirement plan market is also a great source of rollover opportunities as participants change jobs and new employees are hired. Our advisors focus heavily on education of the participants and communication. We have ten advisors who carry the CFP designation.


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