Career in the retirement plan industry goes back to 1984, with Merrill Lynch’s Southeast Regional Operations Center in Atlanta, Georgia, as their Supervisor for their Retirement Plan Services division. I was in charge of New Accounts/ERISA Compliance and Financial Consultant training with regard to Qualified and non-Qualified plans.

Since that time, I have either been an employee of or have been under contract as an independent retirement plan consultant to the following organizations, with regard to business development and training of their employees related to ERISA-Qualified and non-Qualified plans, plan design and ERISA compliance enforcement:

• Merrill Lynch
• Smith Barney (on three engagements)
• Charles Schwab Retirement Services
• A.G. Edwards & Sons, Inc.
• Morgan Stanley (formerly Dean Witter)
• Morgan Keegan
• The former offices of J.C. Bradford&Co.
• Wachovia Bank-Atlanta division
• Continental Benefit Administrators, Atlanta
• ING (formerly Aetna Retirement Services)

The 401k Advisory Group helps its clients take delivery of our specialized, unbiased expertise in three main areas:

1. Plan design and compliance—for the greater good of the employees AND the employer.
   
   
2. Virtually unlimited service provider selection and monitoring—to offer unbiased information and advice as to their capabilities (and weaknesses).  We have either been employed by, under contract with many of the major 401k vendors, and have made on-site visits to their campus of operations as part of our own due diligence.
   
   
3. “ERISA-Investment Manager” third party investment fiduciary services—to eliminate plan sponsor liability with regard to the oversight and disposition of the investments within the plan.  NO BANK OR BROKERAGE WILL PROVIDE THIS LEVEL OF SUPPORT.

Allen Vaughan is an Accredited Retirement Plan Consultant with the Society of Professional Administrators and Recordkeepers (SPARK)

Allen Vaughan is an Accredited Investment Fiduciary with the Center for Due Diligence in the Katz School of Business at the University of Pittsburgh.

Allen Vaughan is a member of the following organizations:

• ASPPA, the American Society of Pension Professionals and Actuaries
• The Atlanta Chapter of ASPPA
• SPARK, the Society of Professional Administrators and Recordkeepers
• GAMGMA- the Georgia Chapter of the Medical Group Management Association
• SHRM-Atlanta, the Atlanta Chapter of the Society of Human Resource Managers.
• Business partner with the Georgia Society of CPA’s