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Corporate Retirement Plans PDF Print


In today’s increasingly complex retirement plan arena, plan fiduciaries are required to accept greater responsibility than ever before. It is the responsibility of the company officers, directors and key employees, acting in the capacity of qualified plan fiduciaries, to select and monitor the investment advisors that provide services to your company’s retirement plan. That makes selecting an advisor for your plan one of the most critical decisions you will make for your company, employees, officers and directors.



So how do you choose the right advisor for your plan?

For many years, the retirement plan industry has worked to assist financial advisors with the education, knowledge and experience required to effectively provide retirement plan investment management. However, it’s important to note that established certification programs and industry designations are not required for financial advisors operating within the retirement plan arena. As a result, some advisors lack the industry expertise, legislative and regulatory knowledge, and most importantly—the ability to act in a fiduciary capacity—that you rely on to assist with plan compliance and drive participant results.



A Fiduciary advisor will always:                                         

  1. Accept co-fiduciary responsibility in writing

  2. Demonstrate prudent investment processes in place and in use

  3. Provide a written Service Agreement

  4. Make complete disclosures regarding any potential conflicts of interest



Use This Fid vs Suitability



Adhering to a high standard of fiduciary care

At Wealth Strategies Group we’re passionate about helping you provide an effective retirement plan to your employees. Our professionals bring a broad range of core competencies and credentials across employee benefits and asset management disciplines, including:


CFP® Certification: The Standard of Excellence

Only a select group of planners have met the rigorous education, examination, experience and ethics requirements set forth the by Certified Planner Board of Standards. As a CERTIFIED FINANCIAL PLANNER™ professional, our president and founder Charles Auerbach has demonstrated his knowledge and credibility amongst his peers. The certification is a strong indication of his status as a qualified, trustworthy financial planner. His principled leadership inspires the dedicated teamwork and professionalism that define Wealth Strategies Group.

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ERISA 3(21) Fiduciary Advisor and 3(38) Investment Manager

Charles Auerbach is among a limited number of advisors approved as both an ERISA 3(21) fiduciary advisor and a 3(38) investment manager among LPL Financial’s more than 12,000 independent advisors to be approved to provide ERISA advisory services. These fiduciary designations require that the advisor’s interests must always be aligned with the interests of the plan and its participants.

Wealth Strategies Group works with industry-leading retirement plan services providers and plan administrators to help meet a broad range of needs for our corporate retirement plan clients.


Learn more about our retirement plan services: