Nonqualified Consulting Group COMMITTED TO THE NQDC MARKET EXPERTISE & SERVICE BROUGHT TO YOU BY THE PRINCIPAL FINANCIAL GROUP

Transcription

1 Nonqualified Consulting Group COMMITTED TO THE NQDC MARKET EXPERTISE & SERVICE BROUGHT TO YOU BY THE PRINCIPAL FINANCIAL GROUP

2 Trust a leading provider of nonqualified deferred compensation solutions 1 As a financial professional, you recognize the value in bringing comprehensive employee benefit solutions to your clients. Nonqualified deferred compensation (NQDC) plans can help employers recruit, retain, reward and retire key employees. With more than two decades of hands-on experience, the Principal Financial Group has the committed resources to help you offer these solutions to your clients. Supporting your efforts with both new and existing plan opportunities, our specialized teams of experts can help you provide creative NQDC solutions that meet both employer organizational goals and the goals of their key employees. Our experience with a broad range of clients, from small and medium-sized businesses to the FORTUNE 500, and with both for-profit and tax-exempt employers, gives you the expertise to provide the most effective NQDC solutions for your clients and prospects. The Nonqualified Consulting Group What sets us apart from other plan providers is our knowledgeable team of highly qualified professionals who provide advanced technical and sales support. With over 200 years of combined experience, our team encompasses experienced attorneys, Certified Public Accountants (CPAs) and benefit plan specialists. Working together with you and your clients, our consulting experts can offer best practices and thought capital to assist with sales opportunities, enhanced service, and retention efforts. When working with a plan sponsor, we follow a rigorous process to gather the client s objectives, facts on the organization, and ultimately provide a plan design that helps meet the organization s goals and provides financing solutions and ongoing support. Sales Support 200+ years of total industry experience, more than 100 years of Principal NQ Credentials employed: JD 2, CPA 3, CFP, ChFC, CLU, MBA, FSA, MAAA Plan Design

3 SERVICES FROM THE EXPERTS n Applied Knowledge series THOUGHT CAPITAL n Industry research and white papers n NQ video series n Industry and legislative support n Comprehensive plan design reviews PLAN DESIGN & PLATFORM n Best practices n NQDC platform capabilities n Sales engineering n Advisor point-of-sale support ADVANCED CONSULTING n Enhanced sales support including customized materials n Ongoing support of institutional clients n Enrollment/re-enrollment assistance n Regulatory guidance (Section 409A and 457) TECHNICAL n Tax and accounting expertise n Payroll guidance n M&A issues (merger and acquisition issues) n Financial modeling PLAN FINANCING & INVESTMENTS n Corporate-owned life insurance (COLI) product analysis and financing design n Product development n Investment mappings and reviews n Institutional experience LARGE-CASE SUPPORT n Meeting and travel coordination n Presentations and materials TRAINING & ADVISOR DEVELOPMENT n Seminars and roundtables n Continuing Education programs

4 Meet our Team LEADERSHIP & THOUGHT CAPITAL Jason Bowie Director Consulting & Investment Services Responsible for the Consulting and Investments and Financing Services teams Background in securities pricing and valuation and experience in all NQDC operational areas within The Principal Professional Education: CFP, ChFC, FINRA Series 7, Series 66, Series 24, North Carolina Life and Health Licenses Andy Dalgliesh Director Nonqualified Overall management of Consulting, Investment and Financing and Defined Benefit Teams, NQDC Thought Capital and Legislative and Industry Liaison Background in corporate accounting, reporting and tax issues, and employee benefit plan design and implementation Professional Education: MBA, CPA 3, CLU, ChFC, FINRA Series 6 and Series 63, North Carolina Life and Health Licenses PLAN DESIGN & PLATFORM Don Curtis Executive Benefits Consultant Provides technical and consulting support, assists with plan design and best practices Background in qualified and nonqualified plan recordkeeping and service Professional Education: FINRA Series 6, Series 63, North Carolina Life and Health Licenses Bert Ward Consultant Provides technical and consulting support, assists with plan design and best practices Background in nonqualified large case client service, financial services, and banking operations Professional Education: FINRA Series 7 and Series 66

5 ADVANCED CONSULTING Mike Stolbach, Vice President Executive Benefits Consulting Provides prospects and existing clients technical expertise in the design, financing and implementation of NQDC plans Background includes executive benefits plan design, insurance-based solutions for corporate benefits liabilities and legal experience Professional Education: JD 2, MBA, FINRA Series 6 and Series 63, Life and Health Licenses (various states) John Baergen, Vice President Executive Benefits Consulting Provides prospects and existing clients technical expertise in the design, financing and implementation of NQDC plans Extensive consulting in sales engineering, case design, corporate accounting, 409A, and other technical specifications for NQDC solutions Professional Education: CFP, CLU, FINRA Series 6, Series 63, Life and Health Licenses (various states) TECHNICAL David Heine, Senior Executive Benefits Consultant Provides technical support for NQDC plans and supports clients and financial professionals Expertise includes 409A and tax issues, GAAP accounting, cash flow analysis and issues related to plan operation and design Professional Education: CPA 3, FINRA Series 7, Series 66, North Carolina Life and Health Licenses Mark Keerbs, Executive Benefits Consultant Provides technical support for NQDC plans and supports clients and financial professionals Expertise includes 409A and tax issues, as well as issues related to plan operation and design Professional Education: JD 2

6 PLAN FINANCING & INVESTMENTS Mark Rodts, Actuary Provides consulting on plan design, implementation and financing for defined benefit and defined contribution plans Background in actuarial science, financial reporting, financing strategies, product pricing and features Professional Education: FSA, MAAA, FINRA Series 6, Series 63, North Carolina Life and Health Licenses Adam Brown, Financial Analyst III Provides technical and consulting support for plan financing and investment platforms Background in COLI design and analysis, investment consulting and financial advising Professional Education: FINRA Series 7 and Series 66 LARGE-CASE SUPPORT TRAINING & ADVISOR DEVELOPMENT Lindsey Von Gillern, Retirement Support Services Coordinator Responsible for coordinating the efforts to retain existing clients and gain new business through the creation and organization of client visit presentations and materials Background in marketing communications, market research, and sales Dave Noreen, Senior Market Segment Training Advocate Responsible for training and education of financial professionals and employees of The Principal for the nonqualified market segment Background in sales, marketing and training/education

7 NEXT STEPS Working in tandem with your regional vice president, our team of professionals is ready to work with you and your clients to help meet key employee and organizational needs. For more information on the solutions available, contact your regional vice president or visit

8 WE LL GIVE YOU AN EDGE Principal Life Insurance Company, Des Moines, Iowa , 1 Based on total number of NQDC plans, PLANSPONSOR Deferred Compensation Buyer s Guide, December JD is an educational degree and holder does not provide legal services on behalf of the companies of the Principal Financial Group. 3 Certified Public Accountants (CPAs) do not provide tax or accounting services on behalf of the companies of the Principal Financial Group. The Principal Financial Group is not a plan fiduciary for any nonqualified deferred compensation plan. Insurance products and plan administrative services are provided by Principal Life Insurance Company. Securities are offered through Princor Financial Services Corporation, , member SIPC and/or independent broker dealers. Princor and Principal Life are members of the Principal Financial Group (The Principal ), Des Moines, IA For financial professional use only not for distribution to the public. Not FDIC or NCUA insured May lose value Not a deposit No bank or credit union guarantee Not insured by any Federal government agency BB /2014 t fw