Watch Out for This 401(k) Rollover Loophole

July 27, 2017 In the News

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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. 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 separate, non- affiliated entities. PCA does not provide tax or legal advice. Insurance and Tax Services offered through Alison Wealth Management are not affiliated with PCA. Information received from this website should not be viewed as investment advice. Content may have been created by a Third Party and was not written or created by a PCA affiliated advisor and does not represent the views and opinions of PCA or its subsidiaries. This site may contain links to articles or other information that may be contained on a third-party website. PCA is not responsible for and does not control, adopt, or endorse any content contained on any third party website. 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.

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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.

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

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