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Helpful Tips to Prepare for a Retirement Plan Audit

Whitepaper offering insights to help plan sponsors and advisors prepare for a plan audit by providing a road map to help determine whether an audit is required, whether it can be limited in scope, what that means for the plan and how to select an auditor with the proper expertise.

  • Aug-26-2019
  • Whitepaper
  • advisor
  • PUB ID: RETX016252

Value-Added Resources For Your Business (Retirement)

Legg Mason's resources help financial professionals successfully develop and service their retirement plan business and build strong relationships with plan sponsors and plan participants.

  • Oct-08-2019
  • Brochure
  • advisor

Value-Added Resources For Your Business

A brochure of Legg Mason's resources to help financial professionals successfully develop and service their retirement plan business and build strong relationships with plan sponsors and plan participants.

  • Sep-30-2019
  • Brochure
  • advisor
  • PUB ID: TAPX011729

ACES - Addressing Participant Fee Transparency - Prospecting Letter

A sample prospecting letter to leverage when communicating about the 404(a)(5) disclosure regulation to plan sponsors.

  • Sep-10-2019
  • Worksheet
  • advisor

ACES - Focus On Fees - Prospecting Letter

Prospecting letter developed to help you highlight the importance of fee transparency to plan participants.

  • Sep-10-2019
  • Brochure
  • advisor

ACES - Financial Professional Change - Prospecting Letter

Prospecting letter illustrating that changing a financial advisor can be lead to better service and improved participant engagement.

  • Sep-10-2019
  • Brochure
  • advisor

ACES - Understanding Fiduciary Options - Prospecting Letter

Prospecting letter questioning who is acting as a fiduciary, a financial professional or the plan sponsor. This is an important topic for plan sponsors to be aware of given the level of responsibility involved with being a fiduciary.

  • Sep-10-2019
  • Brochure
  • advisor

ACES - Quality of Service - Prospecting Letter

An example of a prospecting letter to highlight the high quality services offered to employers and employees.

  • Sep-10-2019
  • Brochure
  • advisor

ACES - Plan Design - Prospecting Letter

A sample prospecting letter for advisors to use when communicating with plan sponsors about the retirement plan design options.

  • Sep-10-2019
  • Worksheet
  • advisor

Legg Mason IRA Transfer of Assets Form

Request an IRA transfer of assets or a direct rollover from an existing retirement plan account to your Legg Mason IRA

  • Sep-05-2014
  • Account Maintenance Form
  • public

IMPORTANT INFORMATION: All investments involve risk, including loss of principal. Past performance is no guarantee of future results. Please see each product's web page for specific details regarding investment objective, risks, performance and other important information. Review this information carefully before you make any investment decision.

Carefully consider a fund's investment objectives, risks, charges and expenses before investing. Please view the prospectus or summary prospectus for this and other information. Read it carefully.

FINANCIAL ADVISORS: Please note that not all share classes may be available for sale at your firm. Please call the Legg Mason Sales Desk 1-800-822-5544 or your Legg Mason Sales contact for more information.