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10 Questions Every Financial Advisor Should Ask Their Retirement Plan Clients

Do your clients consider you as just an order taker or a trusted advisor? You can ensure they see you as a valued partner in their success by asking 10 key questions that will help them strengthen and manage their retirement plans more effectively. And prospective clients will thank you for saving them both time and money.

Download this FREE list of client-focused questions from PenChecks Trust:


Help Your Clients Avoid a DOL Audit

No business wants to have its retirement plan audited by the Department of Labor (DOL). But 401k plans are complex undertakings with a myriad of DOL and IRS regulations that must be followed. Even companies with solid plan management can inadvertently make administrative mistakes, such as improper tax withholdings or misinterpretation of vesting periods, that lead to an unwanted DOL audit.

Fortunately, there’s a simple – and cost-effective – solution for upholding your fiduciary responsibilities and minimizing your chances of a DOL audit. You can read about it in the PenChecks Trust must-read article, Managing Missing Participant Accounts and Fiduciary Responsibility.

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