401(k) Services For Plan Sponsors



*Clearing and custody services provided by Fidelity Brokerage Services LLC. Member NYSE/SIPC

There are two major risks that employers have when providing 401(k) programs to their employees:

  • The first is the exposure from future claims by participants (or their families) that their 401(k) was not managed properly.
  • The second is the exposure from future claims by participants that they were not given adequate investment advice.

Acting as a co-fiduciary under ERISA, Certified Advisory Corp, an SEC Registered Investment Advisor, mitigates employer liability against 404(a) claims by plan participants.  WE PUT IT IN WRITING!

As a provider of investment advice, Morningstar® Associates,  acts as a fiduciary to plan participants.  Through its affiliation with Certified Benefits Corp, a Third Party Administrator and Recordkeeper, Morningstar® Associates supports 404(c) compliance by offering employees in-depth education regarding their investment alternatives.  WE PUT IT IN WRITING!

This unique combination of an SEC Registered Investment Advisor and a state-of-the-art Third Party Administrator and Recordkeeper creates The Certified Difference!TM

 

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