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401khelpcenter.com, LLC 7032 SW 26th Avenue Portland, OR, 97219 Phone: 503.705.9548 info@401khelpcenter.com www.401khelpcenter.

com

Directory of Individual and Small Business 401(k) Retirement Plan Providers


(Revised and Update as of February 2012)

Directory of Individual and Small Business 401(k) Retirement Plan Providers The following firms have indicated that they can provide 401(k) plans for sole proprietorships and other qualified businesses. These firms also can help small business with retirement plan issues. This list was compiled from information provided by each vendor. The information provided has not been verified. 401khelpcenter.com, LLC does not endorse nor does it recommend any of these providers or services.

Firm Name 401(k) Advisors 401k Advisory Group 401kbrokers.com Academy Advisors Adams Advisory Services

Contact Person Craig Dewey Craig Lewis Gillooly R. Allen Vaughan

Contacts Phone Number 757.645.3975 404.441.0064 858.454.7090 or 800.474.3826 866.545.8390 617.236.7310 800.432.4015, option 1 314.539.0836 888.268.7300 800.858.8850 x6073

Contacts Email Address cdewey@401kadvisors.com RvaughAn@cfiemail.com craig@401kbrokers.com chuck@academyadvisors.com fadams@shore.net n/a Karen.Szylowski@nmfn.com info@afgllc.biz mutualfundinquiry@sunameri ca.com

Firms Website Address www.401kadvisors.com www.401kbrokers.com n/a n/a www.adp401k.com n/a www.AFGLLC.biz www.sunamericafunds.com www.401kadvisorygroup.com

Chuck Smith Frederick N. Adams n/a Karen M. Szylowski n/a

ADP Retirement Services

Advanced Benefits Consulting AIG SunAmerica Funds

Aegis Financial Group

Fred Hamsayeh

Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 2 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.

Directory of Individual and Small Business 401(k) Retirement Plan Providers


Alliance Pension Consultants Jeffrey B. Feld n/a Sandy Southard Tom McNeill Ken Belanger Patrick M. Shelton 847.291.9440 x101 800.345.3533 218.855.6204 732.223.1388 610.239.9750 800.511.0726 x1212 800.395.5200 702.528.0366 651.665.4300 or 800.728.0144 415.647.8144 913.693.4592 443.276.0025 Jfeld@alliancepension.com n/a n/a tkmceo@amsginc.com ken@belangerandcompany.c om pshelton@bpp401k.com dgleich@broadfinancial.com mike@carterinvestmentservic es.com rdahl@capitalstreet.biz mjones@benefitsshmenefits.com www.alliancepension.com www.americancentury.com www.ascensus.com n/a www.belangerandcompany.com www.bpp401k.com www.broadfinancial.com www.carterinvestmentservices.com www.capitalstreet.biz www.benefits-shmenefits.com www.clarkfinancial.com n/a

American Century Investments Ascensus Asset Management Services Group Belanger and Co. Benefit Plans Plus Broad Financial Carter Investment Services Capital Street Financial Services Century Benefits Consulting

Daniel Gleich Michael L. Carter Randy K. Dahl Michele A. Jones Chuck Clark Peter F. Hibbard

Clark Financial Group Columbia Benefits

cclark@clarkfinancial.com

phibbard@columbiabenefits.c om

Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 3 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.

Directory of Individual and Small Business 401(k) Retirement Plan Providers


Dominion Financial Eagle Hill Wealth Management Edward Jones Jeff Boyd Peter T. Cacioppo n/a n/a David Rhodes Kevin Mundy Brandon Echeverria n/a 619.644.3545 x105 925.377.6416 (Northern California only) n/a 775.850.9110 315.682.2285 609.918.2556 602.432.2208 800.544.5373 800.820.9173 800.998.3642 561.242.3632 901.843.7799 303.388.7708 jeffboyd@sammonsrep.com EagleHill@EagleHillAdvisor.co m n/a n/a www.dominionfinancial.net www.EagleHillAdvisor.com www.EdwardJones.com

Entrust Group, The ERISA Consultants ExpertPlan Factor Admin LLC Fidelity Investments Fifth Third Institutional Services Financial Network Flexible Benefits Program of Florida Future Benefits of America

drhodes@erisaconsultants.co m kmundy@expertplan.com brandone@factoradmin.com n/a Sheri.Kehren@53.com millicow@financialnetwork.co m fbpfl@bellsouth.net tony@fb401k.com info@grandersonwealth.com

www.theentrustgroup.com www.erisaconsultants.com www.expertplan.com www.factoradmin.com www.401k.com www.53.com www.fnic.com n/a www.fb401k.com www.GRAndersonWealth.com

Sheri Kehren William J. Millico Mark Shepler Tony Michael Gregory Anderson

GR Anderson Wealth Management

Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 4 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.

Directory of Individual and Small Business 401(k) Retirement Plan Providers


Great Lakes Retirement Plan & Trust Hartford, The Independent Financial Group ING Financial Partners Mario Giganti n/a James Lorenzen Lee Kaplowitz Mike Marlow n/a V. Richard Evans Dick Friedman n/a Heath Stock Ronco Johnson Daniel Lamaute 800.448.5319 800.862.6667 800.257.6659 818.264.4545 913.385.8264 800.241.9799 724.745.4985 847.501.3511 800.472.6330 800.691.4015 x110 770.321.1337 800.655.5795 mgiganti@azsure.com retirement@hartfordlife.com jiml@indfin.com Lee.Kaplowitz@ingfp.com michael.marlow@intrustbank. com retirement.ma@invescoaim.c om www.ccadvisors.com www.hartfordlife.com www.indfin.com www.ingfinancialpartners.com www.intrustbank.com www.invesco.com n/a www.ironfinancial.com www.ivyfunds.com www.julyservices.com www.lrj-associates.com www.investsafe.com

INTRUST Bank N.A. Invesco Investors Capital Corporation Ivy Funds

revans@investorscapital.com rpf@ironfinancial.com retirechannel@ivyfunds.com hstock@texaspension.com ronco@lrj-associates.com n/a

Iron Administration July Business Services

L.R. Johnson & Associates

Lamaute Capital, Inc.

Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 5 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.

Directory of Individual and Small Business 401(k) Retirement Plan Providers


Legg Mason Wood Walker LPL Financial Manarin Investment Counsel, Ltd. Manulife Financial Merrill Lynch MFB Financial Michelle Ogden & Company LLC Midwest Benefit Consultants n/a Steve Jackson Don Davidson Brandon Buckingham 800.738.5344 866.580.8904 800.397.1167 800.334.4437 800.937.0634 317.844.1350 407.349.9828 847.821.2200 x12 215.793.4300 800.258.7878 813.300.7526 425.451.9389 rps@leggmason.com stevejackson@lpl.com don@manarin.com bbuckingham@manulifeusa.c om B_Hill@ml.com or William_Geist@ml.com www.leggmasonretirement.com www.LPL.com www.manarin.com www.manulifeusa.com www.ml.com www.mfbbank.com www.MichelleOgden.com n/a www.minikplan.com www.mtrustcompany.com www.moneyconcepts.com www.moranknobel.com

Bryan Hill or Will Geist Tom Mohler Michelle Ogden

thomas.mohler@mfbbank.co m mo@michelleogden.com

Milberg Consulting Millennium Trust Money Concepts Financial Planning Moran Knobel

Steven Schoenbrun n/a

sschoenbrun@mbcltd.net bmilberg@erisaexpertise.com info@mtrustcompany.com gallen@moneyconcepts.com kathyj@moranknobel.com

Barry R. Milberg Glenda L. Allen Kathy Johnston

Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 6 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.

Directory of Individual and Small Business 401(k) Retirement Plan Providers


Morgan Stanley Mt. Hood Pension Service New York Life North Track Funds ONeill Employee Benefits Jill Bobigan Doug Monahan Danielle D. Dupree Jason Kell, Director Dorie Vest Doug Hatcher Michael Dadich n/a n/a n/a Arthur J. Thielen n/a 800.733.4793 503.597.7334 703.610.4084 800.826.4600 215.657.7400 x113 513.794.6248 602.274.2751 800.421.4314 x326 800.835.7305 800.722.2333 x3939 800.236.7400 520.299.5875 866.818.4472 jill.bobigan@Morganstanley.c om doug@mthoodpension.com dddupree@ft.newyorklife.co m n/a j.kell@oneillcc.com dorie_vest@ohionational.co m Doug@OlsonHatcher.com michael.dadich@opco.com n/a advmkt@pacificlife.com sales@pai.com athielen@2pathways.com takecontrol@pensco.com www.morganstanley.com n/a www.NewYorkLife.com www.ntfunds.com www.oneilleb.com www.ohionational.com www.olsonhatcher.com www.opco.com www.oppenheimerfunds.com www.pacificlife.com www.pai.com

Scott Stevens

Ohio National Financial Services

Olson & Hatcher Financial Advisors

Oppenheimer & Co. Pacific Life PAi

OppenheimerFunds

Pathways Financial Partners PENSCO Trust Company

www.2pathways.com www.penscotrust.com

Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 7 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.

Directory of Individual and Small Business 401(k) Retirement Plan Providers


Pension Administration and Trust Howe Woolfolk Raj Pillai, President n/a Elise Pilkington n/a David Salvo Steven English Joseph (Bo) Zimmerman 978.356.9004 877.241.6269 800.225.6292 800.952.3343 800.332.4015 212.778.6358 410.821.7766 866.785.7775 800.528.2343 866.269.2710 847.367.0260 877.254.7085 hwoolfolk@pata-pension.com pro@proinc401k.com n/a Pilkington.Elise@principal.co m contactus@principaltrust.co m David_Salvo@prusec.com SEnglish@psafinancial.com www.pata-pension.com www.proinc401k.com us.pioneerinvestments.com www.principal.com www.principaltrust.com www.prudential.com www.psafinancial.com www.qualifiedplanconsultants.com www.resourceadmin.com www.trasolok.com n/a www.revzonconsulting.com

Pension Retirement Online Pioneer Funds Principal Financial Group Principal Trust Company PSA Financial

Prudential Securities Qualified Plan Consultants

Resource Benefits Administrators Retirement Advantage

bzimmerman@qualifiedplanc onsultants.com mparks@resourceadmin.com matt.schoneman@tra401k.co m rpc401k@comcast.net les@revzonconsulting.com

Michelle Parks Matt Schoneman Sevan Krikorian Les Revzon

Retirement Plan Consultants

Revzon Consulting Group

Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 8 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.

Directory of Individual and Small Business 401(k) Retirement Plan Providers


Risk Management Strategies RMGI Financial Schillo Financial Company Schooner Financial Schwab, Charles Seasons Financial, LLC Security Benefit Group William J. Finnegan 619.723.1384 610.621.5777 805.496.6141 860.983.1847 800.694.9449 858.220.1505 800.888.2461 x3132 888.597.1553 480.421.0600 425.467.7464 303.925.9607 224.622.0463 253.565.2100 bill@rmstrategies.com chipadair@rmgifinancial.com frank@schillofinancial.com Melissa@SchoonerFinancial.c om n/a service@401kquestions.com tom.granger@securitybenefit .com faiellac@jwseligman.com jjewett@fscadvisor.com n/a n/a www.schillofinancial.com www.schoonerfinancial.com www.schwab.com www.expertplan.com/allseasons.jsp www.securityretirement.com www.seligmanretirement.com n/a www.sharebuilder401k.com www.smithbarney.com www.snap401k.com www.spectrumpension.com

Chip Adair Frank Schillo Melissa R. Gray n/a Tom Frost Thomas J. Granger

Seligman Advisors Sequoia Financial Smith Barney Snap401k Spectrum Pension ShareBuilder 401(k)

Carl Faiella

Jennifer Jewett Bob Weintraub Russell W. Petrin Scott Brand Pano Koumantaros

robertwe@sharebuilder.com

russell.w.petrin@smithbarney .com smb@snap401k.com pano@spectrumpension.com

Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 9 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.

Directory of Individual and Small Business 401(k) Retirement Plan Providers


Sterling Investment Advisors Sterling Trust Company Sean M. Flatley n/a Gary King Delilah Sinek W. John Dye Donna Rowe Keith Collis n/a n/a Martin D. Jantzen Erik Lawrence Paul G. Masser 877.430.7382 x16 800.955.3434 x5 918.877.3361 or 866.431.1516 714.674.7999 970.744.4626 800.638.3804 800.966.4015 866.401.4100, Option 1 800.638.8194 773.472.7000 800.245.0900 703.334.2420 x37 Seanf@sterling-advisors.com STCServices@uwbank.com king@stifel.com dsinek@finsvcs.com trustcounselor@yahoo.com retireplan@troweprice.com keithc@tsc401k.com Singlek@theonline401k.com ticontact@touchstoneinvestm ents.com martin@trianglechicago.com erik.lawrence@ubs.com paul.masser@uniglobalretire ment.com www.sterling-advisors.com www.SterlingTrustCompany.com www.stifeltulsa.com www.stonefin.net www.summittrust.com www.troweprice.com/smallbusiness www.tsc401k.com www.theonline401k.com www.touchstoneplans.com www.trianglechicago.com www.ubs.com www.uniglobalretirement.com

Stifel Nicolaus & Company Stone Financial Summit Trust Company

T. Rowe Price

Tax Sheltered Compensation, Inc. The Online 401(k) Touchstone Investments Triangle Solutions, Inc. UBS Financial Services

Uniglobal Pension

Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 10 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.

Directory of Individual and Small Business 401(k) Retirement Plan Providers


Union Central Vargo Company, The Victory Capital Management Caren Wiegand John Sample Melissa Cowan Brandon Grandbouche Kristin Rathjen Adam R. Weiss Ron Fishman 800.825.1551 x2853 814.897.1180 800.982.3811 x4-5702 877.444.9544 800.352.3754 847.296.1900 x234 800.526.8094 cwiegand@unioncentral.com jsample@thevargocompany.c om www.unioncentral.com www.thevargocompany.com www.VictoryConnect.com www.wealthharbor.com www.wedbush.com www.theweissgroup.com www.yhbretirement.com

WealthHarbor Capital Group Wedbush Morgan Securities Weiss Group YHB Retirement Services

Melissa_Cowan@VictoryConn ect.Com Bgrand@wealthharbor.com Kristin.Rathjen@wedbush.co m arw@theweissgroup.com ron@yhbretirement.com

401kHelpCenter.Com, LLC is a principal provider of information, opinion, analysis, news, rules, and other 401k resources for plan sponsors, small businesses, and plan participants. For more information, visit the companys web site at www.401khelpcenter.com. If your firm offers individual 401(k) plan services and you wish to be included in this list, contact 401khelpcenter.com at info@401khelpcenter.com Copyright 2002-2012 by 401khelpcenter.com, LLC - Page 11 401khelpcenter.com, LLC does not endorse or recommend any provider, service or product listed here. Obtain professional legal and tax help when setting up your plan.