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Watch Out for This 401(k) Rollover Loophole

July 27, 2017 In the News

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Serving clients across the United States. Offices located in:
Palo Alto, CA Office
530 Lytton Ave Floor 2

Palo Alto, CA 94301

St. Petersburg, FL Office
360 Central Ave Suite 800

St. Petersburg, FL 33701

Cleveland, OH Office
30400 Detroit Road Suite 210

Westlake, OH 44145

p (650) 617-3402

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Disclaimer:

Financial Planning and Advisory Services are offered through Prosperity Capital Advisors ("PCA") an SEC registered investment adviser with its principal place of business in the State of Ohio. PCA and its representatives are in compliance with the current registration requirements imposed upon registered investment advisers by those states in which PCA maintains clients. PCA may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. This brochure is limited to the dissemination of general information pertaining to its investment advisory/management services. Any subsequent, direct communication by PCA with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. Alison Wealth Management and PCA are not affiliated entities. For information pertaining to the registration status of PCA, please contact the firm or refer to the Investment Adviser Public Disclosure web site (www.adviserinfo.sec.gov). For additional information about PCA, including fees and services, send for our disclosure statement as set forth on Form ADV from PCA using the contact information herein. Please read the disclosure statement carefully before you invest or send money. © 2018 Alison Wealth Management

Certified Financial Planner Board of Standards, Inc. (CFP Board) was founded in 1985 as a 501(c)(3) non-profit organization that serves the public interest by promoting the value of professional, competent and ethical financial planning services, as represented by those who have attained CFP® certification. CFP Board sets and enforces the requirements for CFP® certification, including: education, examination, experience, and ethics, Individuals who successfully complete CFP Board’s initial and ongoing certification requirements are authorized to use the CFP® certification marks in the United States.

The Certified Financial Fiduciary® certification a professional designation provided by the National Association of Certified Financial Fiduciaries (NACFF), Charlotte, NC. To receive this designation, the individual must complete a certification and training process created by NACFF and The American Financial Education Alliance. The individual must complete a 1-day training course and pass the Program Assessment. The program educates professional advisors about the laws, rules and regulations that determine when the individual is acting as a fiduciary. 10 Annual Continuing Education Hours must be completed to renew the certification. The continuing education keeps the individual up to date on the fiduciary rules.

The Financial Planning Association Silicon Valley is governed by a volunteer Board of Directors who are charged with helping the organization reach its strategic goals. FPA SV Board and Committee Members are dedicated to creating an unparalleled membership experience.

The Financial Planning Association®(FPA®) is the principal professional organization for CERTIFIED FINANCIAL PLANNER™ (CFP®) professionals, educators, financial services providers and students who seek advancement in a growing, dynamic profession.

FPA supports high standards of professional competence, ethical conduct and clear, complete disclosure when serving clients. FPA’s One Connection™ for professional development, business success, advocacy and community at the national and chapter levels is truly indispensable in the advancement of today’s CFP® professionals.

NACFF was created to provide all the information, tools, and resources needed for financial professionals to ensure they are compliant with the fiduciary standard.

National Ethics Association (NEA) is a membership based professional organization that has helped business professionals build their businesses on a foundation of trust, ethics and best practices. NEA is committed to helping businesses serve their customers with knowledge and integrity by providing educational resources and content encouraging and promoting ethics in business and beyond. NEA membership doesn’t make business professionals ethical. Nor does it give them license to tout their membership as a badge of ethics. The members believe in the importance of trust, transparency, and due diligence in creating a dynamic and successful business marketplace and they wish to affiliate with other business professionals who share those beliefs. For more information on NEA: https://www.ethics.net/.

530 Lytton Ave Floor 2, Palo Alto, CA 94301, 650-617-3402, Info@AlisonWealth.com

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