About
The NTSA Summit, February 6-8, 2022, is the premier 403(b) and 457(b) forum for education, compliance and sales ideas for producers, providers, agents, broker/dealers, sales and marketing managers, office staff, plan sponsors and other business officials. Sessions and workshops provide coaching, motivation, and innovative sales ideas, as well as in-depth information on retirement issues relating to the nonprofit and public markets, technical education, and legislative updates. Attendees can learn, share, and interact with top experts in the financial services and retirement fields.
Advocate
General sessions and breakouts will provide coaching, motivating and innovative sales ideas as well as in-depth information on retirement issues relating to the not-for-profit and public markets, technical education, and legislative updates.
Network
The NTSA Summit is the premier 403(b) and 457(b) forum for education, compliance and sales ideas for advisors, providers, agents, broker/dealers, sales and marketing managers, office staff, plan sponsors and other business officials.
Grow
Attendees can learn, share, and interact with recognized authorities and top experts in the financial services and retirement industry.
Road to NTSA Summit
General Information
CRES Advisor Discount $350 (valid through Nov 30)
Advisors
| Early Bird Discounted Price (valid until 12/31/21) |
Regular Event Price (valid until 1/28/22) |
Onsite Event Price (valid after 1/28/22) |
|
| Strategic Partner Advisor | $500 | $600 | $700 |
| NTSA Member Advisor | $650 | $750 | $850 |
Non-Advisors
| Early Bird Discounted Price (valid until 12/31/21) |
Regular Event Price (valid until 1/28/22) |
Onsite Event Price (valid after 1/28/22) |
|
| Strategic Partner Non-Advisor | $700 | $800 | $900 |
| NTSA Member Non-Advisor | $850 | $950 | $1,050 |
| Non-member | $1,200 | $1,300 | $1,400 |
Register Today
Agenda
Preliminary schedule as of October 2021. Times and topics subject to change. Stay tuned for the full agenda! Anchored by keynote sessions featuring some of the top industry thought leaders, workshops are divided by tracks for advisors and technical industry professionals so you can choose content most relevant to you!
Sunday, February 6
8 – 11 a.m.
Best Practices Manual Update
NTSA is excited to announce that we will be updating and expanding the NTSA Best Practices Manual that was first created for the final 403(b) regulations in 2009 with the help of all of you, the IRS and DOL! We have updated it every 2-3 years and now it’s that time again. We have the SECURE and CARES Act among the many changes that we will be including in this manual, as well as pandemic responses, and other issues that have occurred in the past 3 years.
This work session brings together the best of the best involved as advisors, TPAs, and other firms. This session is by invitation only.
11:00 am – 12:00 pm
New Attendee Orientation
Welcome to your very first NTSA Summit! Get the most of your conference experience by attending this quick first time attendee orientation hosted by the NTSA Summit Steering Committee. Connect with other first-time attendees, meet the NTSA Leadership Council and NTSA Elite Advisors. We are excited to have you join us!
1:00 – 1:30 pm
NTSA Business Meeting
Come celebrate the achievements of NTSA! Darlene Flagg, 2021 NTSA President, will provide a year in review, incoming at-large members of the 2022 NTSA Leadership Council will be presented to the membership and an awards presentation will take place. The Washington Update session will begin immediately following, so come get your seats early!
1:30 – 2:30 pm
General Session 1:
Federal & State Legislative Update
Find out what you need to know about the rapid policy developments coming from Washington, D.C. Will transformative retirement policies – like retirement plan coverage for all and a new government retirement contribution matching program – be included in a new Democratic reconciliation bill? What are the most important provisions in SECURE 2.0 – the second bipartisan comprehensive retirement bill that Congress is considering in three years?
In addition, you will learn about NTSA state-specific advocacy efforts. NTSA and our strategic partners work alongside each other, championing retirement investment choice and the merits of working with a financial advisor. Around the country, states are increasingly introducing legislation that expands the reach of their state’s 457(b) plan as well as introducing auto-enroll features for their state sanctioned retirement plans. NTSA supports both broader coverage and auto-enroll, but only to the extent these actions do not interfere with a participant’s ability to choose from a broad array of retirement investments and work with a qualified financial advisor.
Brian H. Graff, Esq., APM, Chief Executive Officer, American Retirement Association
Mark Luckinbill, Executive Director, NTSA
3:00 – 3:50 pm
Workshop 1: The PEP Talk! New PEP Possibilities to Explore
A Pooled Employer Plan (PEP) is the latest evolution in the US retirement marketplace and a key provision of the Setting Every Community Up for Retirement Enhancement (SECURE) Act enacted in 2019. Join us for an in-depth discussion with industry peers and find out:
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What is a PEP?
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PEP Roles and Responsibilities
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PEP Fiduciary Services
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The benefits of a PEP
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PEP vs. Traditional 401(k) Comparison
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Methods of Marketing a PEP
Moderator: Brent P. Neese, CRES, Senior Vice President, Retirement Services, PlanMember Services
4:00 – 4:50 pm
Workshop 3: Build a New Digital Staff
Quick, new spurts of a carefully chosen half dozen of successful, new business tools, enabling you to be at your best, most efficient, most effective and most successful – for yourself and for your clients. Why do something manually when there are electronic solutions? Save yourself for your investment and people skill talents with a diverse electronic staff. A New Day awaits you. Invest now.
Jennifer Prosise, MBA, CFP®, CRES, The Voyager Group ltd., Lincoln Investment
Christopher Wise, CFP®, CRES, Principal, Wise Capital Partners
4:50 – 6:15 pm
Welcome Reception in the Exhibit Hall
Monday, February 7
7:00 – 8:00 am EST
Continental Breakfast in the Exhibit Hall
8:00 – 8:50 a.m.
General Session 2:
The Big(ger) Picture – 5 Seismic Shifts
It’s been said that we often miss the forest for focusing on the trees that surround us – but there are changes afoot that could well turn your business “forest” into a prairie. In this dynamic & interactive session ARA Chief Content Officer Nevin Adams will connect the dots as we focus on five seismic shifts that could reinvigorate – or undermine – your practice(s).
Nevin Adams, Esq., Chief Content Officer, American Retirement Association
9:00 – 9:50 a.m.
Workshop 5: Expand Your Practice
Expand! Build! Grow! Be Stimulated! Envision deeper client relationships across diverse segments. Consider HSAs, insurance of many types and solutions, ESG, NQDC. Learn from elite advisors in the field; make a new, fresh 2022 business plan and report back in next year.
10:20 – 11:10 a.m.
Workshop 7: From Successful Advisor to Successful Business
We all remember starting out and wanting to be the best advisor we could be, to do the most we could for our clients and of course enjoy the success our business brings. Then one day we find ourselves enslaved to our business, chained to our office and even losing the love and passion we once had for this amazing career field. Want to change that? Learn to change your practice from a book of business to a real business, these are totally different but if you can accomplish this it will bring back that passion you once had and provide a far superior experience for those clients who have supported you for all these years. Robert Young, president of One2One Wealth Strategies, has been an advisor just like all of you. Listen as he and Tim Feehan from Asset Mark discuss what it takes to make this transformation come true. Learn how this can positively impact you, your family, employees and clients from here forward.
Timothy Feehan, Director Institutional Sales, AssetMark
Robert Young, CRES, NTSA 2019 Elite Advisor, President, One2One Wealth Strategies, PlanMember
11:20 a.m. – 12:10 p.m.
General Session 3:
Retirement Plans & BIPOC Communities
As members of the American Retirement Association, we are part of a larger mission that works toward a fair and accessible retirement system for all Americans. That means that we are led to be an inclusive system recognizing financial priorities across different cultures. Discover the new and exciting opportunities rampant within the BIPOC groups to bring business and community benefits.
12:20 – 1:50 p.m.
NTSA Awards Luncheon
2:00 – 2:50 p.m.
General Session 4:
IRA Business Needs
Welcome to the world of IRAs that will (1) allow you, the advisor, to provide another benefit feature; (2) maintain the assets of your client after they separate from service; (3) Rolling over within the employer plan and the same advisor can be used plus it will prevent leakage and much more!
This session will cover Payroll Deduction IRAs; Omnibus IRAs; Deemed IRAs and Employer IRAs. Employer IRAs have been around since 1975 but the SECURE Act has revitalize this product and put them on Steroids by allowing a MEP provision to apply.
3:00 – 3:50 p.m.
Workshop 9: Inside Portfolio Puzzles for Their Construct and Reassessments
Hone in on asset allocation using the new successful tools of the day, key to portfolio construction for results. Hot Sectors? Artificial Intelligence? Active/Passive Blending? Industry/Sector Weighting? Alpha/Beta? Growth/Value? Emerging Markets/Global? Let’s make sense out of the puzzles with a new day update, hot and timely.
4:20 – 5:10 p.m.
Workshop 11: Plan Sponsor Confidential
Sure, you may know what YOUR plan sponsor clients think … or do you? Plan Sponsor Confidential brings you off-the-record insights direct from the horses’ mouth(s) – in this case a panel of plan sponsors from different NTSA target markets with different perspectives, different experiences, different types and sizes of plans – who’ll tell it to you like it is!
Moderator: Nevin Adams, Esq., Chief Content Officer, American Retirement Association
8:00 – 10:00 p.m.
NTSA at Night
Tuesday, February 8
7:00 – 8:00 a.m.
Continental Breakfast
8:00 – 9:00 a.m.
General Session 5: The 5 Leadership Skills That Will Change Your Life… and Those Around You!
Whether you are a TPA, financial advisor or home office staff, we are all leaders. We lead by influencing others…and most importantly by influencing ourselves. How do some people have strong attraction power and influence others to do things they never would have been able to do otherwise? The most impactful leaders have learned to apply the most essential leadership skills to their own life. The result?….They have grown from merely being transactional leaders…to becoming transformational leaders. Learn the 5 essential skills to transforming your life, and those around you, in this fast paced, high-content, actionable presentation!
John Laurito CFP, ChFC, CRPC, author of Tomorrow’s Leader—How the best leaders become better in a fast-changing world
9:10 – 10:00 a.m.
Workshop 13: Fast & Furious 4.0
Your next Monday morning agenda is set. Choose your favorites from dozens of actionable ideas – all shared transparently from your peers – in a fun, rapid fire contest. Get yours ready; your 10 – 40 second pitch! Marketing, Practice Management, BIPOC are only some of the focus areas. Video Vulturism? Business Models? Positive Culture? Real News? Best Question Ever?
10:20 – 11:20 a.m.
General Session 6: How Technology is Changing Retirement
11:20 – 11:30 a.m.
Closing Remarks: What Now?
Extend Your Conference Experience!
12:00 – 3:00 p.m.
CRES Recertification Course – Understanding Rollover Recommendations, ERISA and IRS Fiduciary Prohibited Transaction Rules
This year’s recertification course will focus on 401(k) and IRA rollovers. The Department of Labor issued a revised policy in 2020. Rollover advice that involves a 401(k) or IRA is now subject to ERISA fiduciary standard of care and prohibited transaction rules.
Attendees will learn when a recommendation is considered advice, why compensation is a prohibited transaction, the importance of a prohibited transaction exemption, and the steps that must be taken to comply with ERISA fiduciary standards and prohibited transaction exemptions.
CRES advisors are required to complete the annual CRES Recertification Course to maintain their certification and to reaffirm your commitment to the CRES standards and practices. By attending, advisors can complete the annual recertification at no additional cost – while also earning 2 hours of CFP CE!
Christopher M. DeGrassi, Chief of Retirement Education, American Retirement Association
12:00 – 3:00 p.m.
CRES Bootcamp
Become an NTSA Certified Retirement Education Specialist (CRES) by attending this workshop and learn how to present the retirement literacy curriculum, overcome school access challenges, and motivate clients to achieve retirement security. Advisors that complete the certificate program are eligible to present the NTSA Retirement Literacy Course in our nation’s schools and are listed on the NTSA registry of certified advisors.
12:00 – 3:00 p.m.
TGPC Cram Course
Ready to pass the TGPC Credential exam but need a final boost to get you there? Then this is the session for you! Join Sue Diehl, one of NTSA’s leading experts as she walks you through the most essential components of the TGPC content, including test-taking strategies as she prepares you to take the credential exam and be successful on your first attempt. Participants should already be enrolled the TGPC Credential Program.
Susan D. Diehl, CPC, QPA, ERPA, BCF™, President, PenServ Plan Services, Inc.
Registration:
By registering for this event, you agree to abide by our Event Policies and acknowledge and accept the Covid Waiver and Safety Protocols.
Conference Location
Renaissance Phoenix Downtown
100 N 1st St.
Phoenix, AZ 85004
Room Rate: $229/night single or double
Cut-off Date: January 7, 2022
Reserve a Room directly with the hotel
Confirmation
NTSA will send an email confirmation of your registration. If you have not received it within 10 business days after registering, please email Accounting.
Continuing Education:
NTSA Continuing Education Calculator
50 minutes
=
1 credit hour
75 minutes
=
1.5 credit hours
100 minutes
=
2.0 credit hours
NTSA Members
The conference is designed to offer up to 13 hours of CE credit, plus an additional 3.5 credits for the bootcamp. To request approval for state insurance or legal CE, please submit your request here by DATE HERE.
Event Policies
NTSA, the National Tax-Deferred Savings Association, is a part of the American Retirement Association (ARA), the umbrella organization for five affiliate organizations: ASPPA, ASEA, NAPA, NTSA and PSCA. The following event policies apply to NTSA Summit:
Registration Refund Policy
Requests for refunds should be submitted to accountsreceivable@usaretirement.org by December 31, 2021. A refund of the conference fee, minus a $100 processing fee, will be given for cancellations received by that date. No refunds will be granted for requests received after this date. Please note that refunds will not be given for no-shows.
Substitution Policy
Substitution of registrations is permitted prior to the conference. Only one substitution is permitted per original registrant. The individual submitting the substitution request is responsible for updating any contact information. Requests for substitutions should be submitted to accountsreceivable@usaretirement.org by January 28, 2022. No substitutions will be accepted after this date.
Badges
Attendees who register in advance may pick up their badge and onsite materials at the Registration Desk during conference hours. If you do not check in at the Registration Desk to pick up your badge, you will be deemed a no-show and continuing education credit will not be issued. Attendees are not permitted to pick up other attendees’ badges/materials.
Covid Waiver & Safety Protocols
By participating in this conference and any associated events, you acknowledge and understand the highly contagious nature of Coronavirus/COVID-19, and that current medical knowledge of the virus, including its transmissibility and risk remains uncertain, particularly in light of evolving variants of the virus. There is not a cure for the virus, and those with certain medical conditions may be at high risk for contracting the virus and/or experiencing significant and life-threatening complications.
You understand and acknowledge that neither ARA nor the event venues are able to provide a guarantee against transmission of the virus, infection and/or illness and that they are not responsible for any potential exposure to COVID-19 and injuries related thereto or other infectious disease which you may experience in connection with the conference. As such, you assume all risks related to COVID-19, even if arising from the negligence or fault of ARA and you release and hold harmless the ARA, its officers, employees, agents, representatives, affiliates, legal successors, and all persons acting pursuant to its authority from any and all liability for damages for exposure to and/or infection with COVID-19 in connection with or on account of my participation in the conference
If you test positive for COVID-19 within 14 days of the event, have COVID-19 related symptoms, or for any reason to believe you have been exposed to COVID-19, you will not attend the conference. In addition, ARA may immediately remove or prohibit you from in-person activities at the conference if you exhibit symptoms associated with COVID-19, or if you fail to comply with any safety procedures stipulated by ARA or the event venue
Event Performance
If the event is canceled, ARA will refund your registration fee. ARA is not responsible for individual airfare, hotel or any other travel expenses that may be incurred.
Consent to Use of Photographic Images
Your registration and attendance at, or participation in, the event and other affiliated activities constitutes an agreement by the registrant to grant ARA permission to use photos taken of you at the event for news, promotion and similar purposes.
Unauthorized Solicitations
Solicitation of business by anyone other than official conference exhibitors and sponsors is strictly prohibited. Please report any violations to the registration desk.
Hotel
By making a reservation in the conference hotel room block, you agree that the hotel can share with ARA basic information about your stay, including your name, arrival, and departure dates.
Program Content
The views and opinions expressed by speakers or others who have provided materials to and for this conference are not necessarily those of ARA or its affiliate organizations. ARA and its affiliate organizations assume no responsibility for, nor endorse, any of the comments, recommendations or materials that are provided.
Event Code of Conduct
ARA is committed to providing a safe, productive, and welcoming environment for all participants at ARA events. All participants, including, but not limited to, attendees, speakers, volunteers, exhibitors, service providers and ARA staff members, and all others are expected to abide by this Events Code of Conduct. This policy applies to all ARA events (in-person and virtual), including all meetings and conferences, as well as events sponsored by organizations other than ARA but held in conjunction with ARA events. Read the full Event Code of Conduct.
Antitrust Policy
ARA assigns the highest priority to full compliance with both the letter and the spirit of antitrust laws and it is vital that any ARA meetings be conducted in a manner consistent with this policy. Read the full Antitrust Policy.
Privacy Policy
ARA respects individual privacy and values the confidence of our members, industry participants and others who engage with us. Our Privacy Policy sets out the privacy principles that we follow with respect to the collection, use, and disclosure of your information.Read the full Privacy Policy.
COVID-19 Protocols
Rest assured NTSA will comply with all large-event safety protocols consistent with state and local guidance, CDC, and WHO guidelines in effect in February. The NTSA team will continue to work closely with the hotel to develop event protocols designed with your health, safety, and comfort in mind. As safety guidelines and requirements change between now and February, we will continue to adapt and refine our approach, sharing new developments with you on this resource page as they occur.
Updated October 2021
Face Coverings
Those who are fully vaccinated are no longer required to wear masks when in both indoor and outdoor public places throughout the city of Phoenix. Masks will still be required at the airport and on public transportation.
Social Distancing
All capacity and distancing restrictions have been lifted for all indoor and outdoor venues. These establishments may resume normal operations at 100% capacity. The NTSA team will continue to work closely with the hotel to ensure the health and safety of all attendees. Operational adjustments may occur throughout the event to ensure the health and safety of all attendees. Please adhere to all signage and direction from all staff.
Exhibit Hall
The exhibit space will be designed to allow for wider aisles and appropriate spacing between booths to ensure effective traffic flow and to allow ample space for attendees to move freely through the exhibit hall.
Food and Beverage
Meals, breaks and receptions have been redesigned to enhance safety, limit lines and allow for effective traffic flow. The number of food and beverage stations will be increased to ensure easy access and reduce crowding.
Enhanced Cleaning and Safety Protocols
Hotel staff will clean and refresh the space throughout the conference. All cleaning in the hotel will be conducted in accordance with CDC, WHO, and local health district requirements. Hotel staff have been rigorously trained to understand safety protocols and will be equipped with the proper personal protective equipment (PPE). Signage will be highly visible throughout the convention center to remind guests and employees to practice good hygiene. In addition, increased cleaning schedules for common areas and high-contact touchpoints such as doorknobs, escalator railings and elevators have been instituted and hand sanitizer stations will be available throughout the convention center and in dining areas.
Committee:
NTSA thanks all its volunteers for their hard work, dedication, and commitment to the organization this past year! Volunteering provides members with a great opportunity for networking, involvement in the organization, and a closer look at how NTSA and its efforts directly affect our industry. It is also a pathway to NTSA leadership positions. Learn how to get involved.
Committee Co-Chairs
Tamara Indianer, CRES, AIF®, CFP®
Regional Vice President
Lincoln Investment
Lisa D. Stubbs, CRES
Relationship/Program Manager
Security Benefit
Conference Committee
Kristine J. Coffey, CRES, CPC, CPFA
Executive Vice President; Founder
CPE Associates, Ltd.
Susan D. Diehl, CPC, QPA, CPC, ERPA, BCF™
President
PenServ Plan Services, Inc.
Christopher M. Wise, CFP®
Principal
Wise Capital Partners
2022 NTSA President
Christopher J. Zingaro
Head of Marketing and Business Development
ABMM Financial
Mark Luckinbill
NTSA Executive Director
American Retirement Association
Sponsors:
Thank you to our Sponsors!
We’re grateful for the support of our 2022 sponsors who help make NTSA Summit possible!
Platinum Sponsor
