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Case Studies

RETIREMENT PLAN FOR A SECURITIES FIRM

 

Case: Start-up securities firm with multiple locations in the U.S. and no retirement plan assets.

 

Starting Off Right

 

Facts:

With no retirement plan, this small start-up was looking to establish a 401(k) plan for its 35 employees. Since it was a securities firm, the Chief Financial Officer (CFO) did not want to be limited to a proprietary group of mutual funds. In addition, the firm’s partners wanted to buy individual equities.

Solution:

PlanPerfect designed a plan giving the firm access to the entire mutual fund marketplace (no front-load or back-load (commission) charges). Further serving the firm’s financial objectives, we offered the ability to buy individual stocks and bonds through a brokerage account window at Charles Schwab and Co.

Contact:

Contact us if you are looking to establish a 401(k) retirement plan or to switch to a plan that gives you access to the entire mutual fund marketplace and the ability to buy individual equities.

Phone: (949) 223-8391
Email: sheree@planperf.com

 

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