Broker Check
2021 Compliance Calendar

2021 Compliance Calendar

| January 04, 2021

Everyone loves the compliance deadlines that should be met every year. To help you stay ahead of the curve with important deadlines and filings, please find attached our complementary 2021 Compliance Calendar. If you have any questions about deadlines or information requested, please contact us to review today!

2021 Compliance Calendar



5000 Brittonfield Parkway, Suite 106

East Syracuse, NY 13057

(315) 431-2888


Securities Offered Through LPL Financial. Member FINRA/SIPC. Investment Advice offered through Retirement & Benefit Partners of Central New York, a separate entity from LPL Financial.


[Newsletter Only – when using using FT Awards]

The Financial Times Top 401 Retirement Plan Advisors is an independent listing produced by the Financial Times (September 2017 & 2016). The FT 401 is based on data gathered from financial advisors, firms, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s performance in eight primary areas, including: DC plan assets under management; DC plan assets as a percentage of overall AUM; growth in DC plan AUM; growth in DC plans advised; DC plan employee participation; professional designations; experience; and compliance record. Neither the brokerages nor the advisors pay a fee to The Financial Times in exchange for inclusion in the FT 401.