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Breakfast Forum: Changing Roles for Fulfilling Fiduciary Responsibilities

  • Thursday, May 15, 2014
  • 7:30 AM - 9:30 AM
  • Hotel Irvine, 17900 Jamboree Road, Irvine (Formerly the Hyatt Regency)


  • Early Bird pricing
  • Early Bird pricing

Registration is closed


 THURSDAY, May 15, 2014 v7:30 to 9:30 a.m.

Meet us at the Hotel Irvine*  

17900 Jamboree Road, Irvine

*Same building, new name!

Doors open at 7:30 a.m. for check-in, breakfast & networking.  

Who is delivering what and why?

How do 3(38), 3(21) and 3(16) fiduciary services fit in?

Financial advisors are serving new roles for plan sponsors.  Broker dealers have concerns about avoiding fiduciary exposure. How responsibilities are fulfilled is evolving among the involved parties:

                   Plan Sponsor

                   Broker Dealer

                   Financial Advisor



To help us understand how roles are changing and why, we are fortunate to have Jason C. Roberts, Esq., share his valuable knowledge and experience.  

At the conclusion of the program, attendees will be able to: 

  • Understand how fiduciary services roles are changing
  • Better advise clients on available alternatives to manage fiduciary responsibilities and exposures
  • Help sponsors implement fiduciary policies that will help them save time and manage risks 

Our Speaker

Jason C. Roberts, Esq,is the Founder and CEO of the Pension Resource Institute (PRI) and partner at Retirement Law Group, PC, providing strategic consulting, education and technology-based solutions for retirement plan service providers and plan sponsors.

Prior to founding PRI, Jason was a partner and co-chair of the Financial Services Group at a leading ERISA law firm, where his practice focused on employee benefits and securities regulation.  He continues to provide legal counsel on ERISA- and investment-related matters through the Retirement Law Group, PC.

Jason has been named as one of the “100 Most Influential in Defined Contribution” by the 401(k) Wire and a “Rising Star” by SuperLawyers Magazine.  He received his B.S.B.A. in Finance & Banking from the University of Missouri and his J.D. from the University of California, Los Angeles (UCLA) School of Law.  

Continuing Education:

·         ASPPA - 1 CE Credit                   

·         CEBS – 1 CPE Credit                         

·         CFP – 1.5 Hours  

·         CPA -(CA) 1.5 Hours

·         ERPA –1 Hour )          

  •    MCLE -  ( California   ) 1.5 Hours
  •    NIPA – 1 CE Credit
  •    General Credit - 1.5 Hours

The reservation deadline for this event is Friday, May 9, 2014.   

The statements and materials presented at WP&BC Orange County Chapter events are solely the opinions of the speakers and do not represent the opinions or positions of WP&BC Orange County Chapter. In addition, WP&BC Orange County Chapter assumes no responsibility for the content or accuracy of the statements and materials presented by speakers at WP&BC Orange County Chapter events.

Please feel free to reach out to WP&BC with any questions.

Direct Questions To:

Christine Stewart,
Chapter Administrator


(949) 407-9128


Orange County Chapter
PO Box 6111
Garden Grove, CA 92846

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