ERISA 404(c) Checklist

SHRM 401(k) Solutions by Raymond James is a branding name for the agreement between SHRM and Raymond James where Raymond James offers SHRM audiences with 401(k) retirement plan services. Raymond James is not affiliated with SHRM. SHRM does not offer investment advisory services.

Corporate Advisors Group of Raymond James is not a registered broker-dealer or investment adviser.

Securities offered through Raymond James Financial Services, Inc. or Raymond James & Associates, Inc., each a broker-dealer registered with the Securities and Exchange Commission (SEC). Investment advisory services offered through Raymond James Financial Services Advisors, Inc. or Raymond James & Associates, Inc., each an investment adviser registered with the SEC. 

Raymond James financial advisors may only conduct business with residents of the states and/or jurisdictions for which they are properly registered. Therefore, a response to a request for information may be delayed. Please note that not all of the investments and services mentioned are available in every state. Investors outside of the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this site. Contact your local Raymond James office for information and availability.

Links are being provided for information purposes only. Raymond James is not affiliated with and does not endorse, authorize or sponsor any of the listed websites or their respective sponsors.

The material and content on this website has been prepared for informational purposes only, and is not intended to provide, and should not be relied on for, tax, legal, or accounting advice. You should consult your own tax, legal, and accounting advisors before engaging in any transaction.