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ERISA Retirement Plans

Defined Contribution/Defined Benefit

New plan procedures 

Takeover/Agent of Record Change procedures

Please note: Principal Securities, Inc. representatives are not allowed to serve as a Tier 1 3(21) investment advice fiduciary when the total assets for the Plan along with any other plans or arrangements under common fiduciary control, held, managed, maintained or controlled by the Plan Sponsor or an affiliate total $50M or more.

For plans $50M and above, please consult with the Principal Securities Retirement Plan Support Team.  

Tools & Resources

Questions? Contact the Principal Securities Retirement Plan Support Team


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