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 Fee $600
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 |
Agenda
Preliminary schedule as of September 2022. 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 the Bob D. Schiller 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
Kendra Bragg, QKC, QKA, Senior Relationship Manager, Newport Retirement Services
Chris Janeway, PlanMember
Brent P. Neese, CRES, Senior Vice President, Retirement Services, PlanMember Services
Workshop 2: Expand your Horizons – The different flavors of Charter Schools and how you can help them
Expand your market and learn how Charter Schools operate. Are they governmental or tax-exempt? How can you find the specific State Law requirements? What is “dual taxuality” What is anticipated when IRS issues their Proposed regulations?
Jeff Campbell, CFP®, AIF®, CRES, Lincoln Investment
Susan D. Diehl, QPA, CPC, ERPA, BCF™, President, PenServ Plan Services, Inc.
4:00 – 4:50 pm
Workshop 3: Build a New Digital Staff
In this New Day, we are called on to be ever so much more efficient – and effective, plus it’s important to find fun in what you do, too.
Build and expand your digital office. Seasoned, successful financial advisors, Jennifer Prosise and Chris Wise, will share more than 19 of their best tools covering such areas as Social Media, Interactive Tools, Correspondence, Devices, Processing and Digital Business Cards. Be at your best, 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 this 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
Workshop 4: TPAs can increase participation too!
This session will explore the ways that TPAs can help expand participation. The panel will look at auto-enrollment, saver’s credit and other emerging trends.
Jim Kelleher, ERPA, Carruth Compliance Consulting
Nathan Glassey, TGPA, QKA National Benefit Services
TPAs can increase participation too!
This session will explore the ways that TPAs can help expand participation. The panel will look at auto-enrollment, saver’s credit and other emerging trends.
Jim Kelleher, ERPA, Carruth Compliance Consulting
Nathan Glassey, TGPA, QKA National Benefit Services
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
7:00 – 3:50 pm EST
Exhibit Hall Open
7:00 – 7:50 a.m.
Security Benefit Breakfast Session:
Solo 401(k) and Cash Balance Plans
Small business owners need your financial advice. With more than 30 million small businesses in the U.S., many believe that they can’t save for retirement or don’t know how. A study from Score.org reported that over 70% of small businesses thought retirement plans were too expensive to set up, and over 60% believe their company simply does not have the resources to administer a plan. But, they do have options and you can be part of their solution. Join us to learn more about Solo 401(k) and Cash Balance plans designed for small businesses.
Thomas J. Granger CLU, CPC, REBC, CPFA, Second Vice President, Security Benefit
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: xpand! Build! Grow! Be Stimulated!
Envision deeper client relationships across diverse segments. Consider HSAs, insurance of many types and solutions,125s, student loan forgiveness counseling and more. Learn from focused advisors in the field: make a new, fresh 2022 business plan and report back in next year.
Kent M. Schutte, CFP®, ChFC, CLU, TGPC, CRES, NTSA 2018 Elite Advisor, President/CEO, EFS Advisors
Landon Warmund, CFP®, Reliant Financial
Sandy Warmund, Reliant Financial
David Wolfe, Financial Advisor, EFS Advisors
Workshop 6: 403(b) Cycle 2 Restatements
Cycle 1 has ended – yeah! Cycle 2 for the new documents started July 1, 2020. What does that mean for employers? For TPAs? For Advisors?
IRS has added a new determination letter program for 403(b) plans; and some changes. What are the pros and cons of the new determination letter program for employers?
Nancy Billings, CPFA, TGPC, Vice President of Compliance, Tax Deferred Solutions
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.
Robert Young, CRES, NTSA 2019 Elite Advisor, President, One2One Wealth Strategies, PlanMember
Workshop 8: Challenges in the world of 403(b)s/457s
We know there are a lot of challenges especially with advisors and firms that do not work in this space. We have selected a few to discuss in a panel of experts!
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Transitioning from one TPA to another
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Legacy contracts
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Church Plan issues
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Plan terminations
Ed Salyers, QPA, Ed Salyers CPA
Danny Miller, Attorney, Conner & Winters Employee Benefits Practice Group
John Adzema, QPA, QKC, QKA, TGPC, President, National Associates, Inc
Teresa M. Ward, CPRC ®, Senior Director, Retirement Programs, Invesco
11:20 a.m. – 12:10 p.m.
General Session 3:
Diverse Target Marketing to Grow Your Practice
Being affiliated with ARA, we are part of the larger mission that works toward a fair and accessible retirement system for all Americans. That means we are led to be an inclusion system, providing financial planning literacy across different cultures and diverse backgrounds.
Discover the new and exciting business and volunteer opportunities rampant within minority groups to bring personal, business, and community benefits.
Listen in on the lively coffee house conversation of committed leaders who ‘walk the walk,’ led by Philip Kim, NTSA 2016 Elite Advisor and NTSA 2022 Ford Volunteer Service Awardee.
Tamara Indianer, CRES, AIF®, CFP®, Regional Vice President, Northeast, Lincoln Investment
Philip Kim, CRES, Divisional Vice President, Signature Wealth Concepts
Fred Makonnen, Division Vice President, Equitable Advisors
Mahes Prasad, Private Wealth Advisor Managing Director, US Bank
12:20 – 1:50 p.m.
NTSA Awards Luncheon
Honor and engage with NTSA lifetime achievement Elite Advisors and awardees of the Richard Ford Volunteer Service Awards, a lifetime service honor.
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.
Susan D. Diehl, QPA, CPC, ERPA, BCF™, President, PenServ Plan Services, Inc.
David N. Levine, Principal, Groom Law Group, Chartered
Teresa M. Ward, CPRC®, Senior Director, Retirement Programs, Invesco
3:00 – 3:50 p.m.
Workshop 9: Portfolio Puzzles Made Real – New Ways To Construct and Reassess Portfolios
Bring the markets to your clients – and your clients’ goals to the markets for solutions. Consider the plethora of options to meet and exceed your client’s goals.
Hone in on asset allocation using the new successful tools of the day: Hot Sectors! Artificial Intelligence! Active/Passive Blending! Industry/Sector Weighting! Alpha/Beta Risk! Growth and/or Value! Emerging Markets Mix with Global!
Let’s make sense out of the Portfolio Puzzles with a new day update that’s hot and timely – with practical role playing. You and your clients deserve nothing less.
Jordan Lawrence, CFA, CAIA, Vice President, Senior ETF Strategist, State Street Global Advisors
Workshop 10: RMDs – Diamonds are Forever, Retirement Plans are not!
This session will cover an overview of the new RMD rules including:
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The different effective dates for the different plan types;
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Case Studies describing the new Death distribution rules;
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Transitioning to the New Life Expectancy Tables beginning 1/1/2022
Susan D. Diehl, CPC, QPA, ERPA, BCF™, President, PenServ Plan Services, Inc
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 speakers with different perspectives, different experiences, different types and sizes of plans – who’ll tell it to you like it is!
Robert Ard, Senior VP-Chief Compliance Officer, U.S. Omni & TSACG Compliance Services
Alberto Gaglianese, CFP®, AIF® CRES, Senior Financial Advisor, Lincoln Investment
Teresa Wong, HR Systems Specialist, Glendale Elementary School District No. 40
Moderator: Nevin Adams, Esq., Chief Content Officer, American Retirement Association
Workshop 12: Nonqualified Deferred Compensation Plans – 457(b), 457(f) and 409A
It has been said that if you keep the status quo and don’t add new features, services or other benefits, your clients will look elsewhere. Plan design for adding plans for your clients will keep them happy. How can you use multiple plans to contribute more, for example under a post employment employer contribution program. How many benefits can you layer?
David N. Levine, Principal, Groom Law Group, Chartered
8:00 – 10:00 p.m.
NTSA at Night
Enjoy dinner on your own and meet us back at the Renaissance at the Skyline Terrace as you enjoy the amazing city views and take in the full beauty of the Arizona skies. Enjoy a dessert buffet and mix and mingle with fellow NTSA attendees! Don’t forget your badge and drink tickets!
Tuesday, February 8
7:00 – 8:00 a.m.
Continental Breakfast
7:00 – 8:00 a.m.
Exhibit Hall Open
7:00 – 7:50 a.m.
Lincoln Investment Breakfast Session: Partnerships to Enhance Retirement Education in the K-12 Marketplace
Come join Tom Lakatos, Senior V.P. of Sales Management, Tamara Indianer, CRES, AIF®, CFP® Regional Vice President, Northeast at Lincoln Investment, and Adam Pearce CFP® from Retirement Professionals for a discussion on how collaboration among vendors can drive plan participation.
It is a fact that collaborating with other vendor peers can encourage more success with preparing employees for retirement. In 2017, Tamara created the New England Retirement Education Group to assist schools with creating a collaborative environment for their employees to learn about and enroll in their retirement benefits. Adam joined the Arizona 403(b) Professionals, a group of NTSA sponsored companies who specialize in serving the K-12, 403(b) and 457 market.
Come and learn why being product neutral is so important to reach employees. In an environment where everybody wins!
Paul Haines, Regional Vice President, Midwest, Lincoln Investment
Tamara Indianer, CRES, AIF®, CFP® Regional Vice President, Northeast
Adam Pearce CFP®, Retirement Professionals
Nationwide Breakfast Session: Social Security: The Choice of a Lifetime
According to the Social Security Administration, more retirees file for Social Security at age 62 than at any other age-locking in reduced benefits for life. Based on Nationwide’s research, only 10% of people know what factors determine the amount of their Social Security benefit. There is an education gap for employees and an opportunity for financial professionals. In this session, we’ll highlight research from the Nationwide Retirement Institute as well as run through some illustrations on how single and married filers can balance expected Social Security income vs. life expectancy.
Timothy O’Mara, VP, Nationwide Retirement Institute
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?
Workshop 14: Fast & Furious Technical
A fast paced session to not only review what you’ve learned during the Summit but test your knowledge on some challenging questions. Judges will weigh in (just in case we need them.) There will be 2 teams battling for the prize!
10:20 – 11:20 a.m.
General Session 6: Ways Technology Will Change How You Age
For the next generation of retirees, one question will trump all others: How do you add life to longer lives? As people live longer, and spend more time in retirement, the challenge will be to get more out of those years. How do you find a rewarding second career? How do you stay close with friends and family? How do you maintain independence and mobility? How do you embrace new experiences? The answer: technology. With the advent of smartphones and constant connectedness, a new peer-to-peer, on-demand economy has emerged. With a simple swipe or tap of an app, information and services are available at our fingertips.
Attendees will learn:
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A new array of devices and services that will make it easier for your aging clients to work, stay healthy, live at home and remain connected to friends and family
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The opportunity for Financial Professionals to become longevity specialists. Longevity specialist advice goes beyond investment and planning alone to focus on the income that will be necessary to address specific needs in later life. Moreover, a longevity specialist serves as a connector between clients and trusted, vetted services that provide solutions to the jobs of longevity.
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Practical ideas to help your clients experience the capabilities these new apps and devices.
Bill McManus, CIMA®, Managing Director, Applied Insights, Hartford Funds
11:20 – 11:30 a.m.
Closing Remarks: What Now?
Extend Your Conference Experience!
12:00 – 3:00 p.m.
CRES Recertification Course – ESG Investing: A New Landscape
Advisor attendees of the NTSA SUMMIT are eligible to join our three-hour CRES Recertification Course focusing on ESG Investing, on Tuesday, February 8 from 12 – 3 p.m., and recertify their NTSA Certified Retirement Education Specialist (CRES) designation. The program his highly interactive and concludes with a group assessment. Specifically, advisor attendees at this course will learn:
- The Fundamentals of ESG Investing for non-ERISA plans and endowments
- The NTSA Advisor’s Process and how it is distinguishable from the prudent process under ERISA
- Putting ESG into Practice with Clients and Prospects
Bonnie Treichel, JD, Chief Solutions Officer, Endeavor Retirement
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!
A certificate of completion will be emailed to all attendees who turn in their documents following the conclusion of the session.
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.
Mark Luckinbill, Executive Director, NTSA
Extend Your Conference Experience!
12:00 – 3:00 p.m.
CRES Recertification Course – ESG Investing: A New Landscape
Advisor attendees of the NTSA SUMMIT are eligible to join our three-hour CRES Recertification Course focusing on ESG Investing, on Tuesday, February 8 from 12 – 3 p.m., and recertify their NTSA Certified Retirement Education Specialist (CRES) designation. The program his highly interactive and concludes with a group assessment. Specifically, advisor attendees at this course will learn:
-
The Fundamentals of ESG Investing for non-ERISA plans and endowments
-
The NTSA Advisor’s Process and how it is distinguishable from the prudent process under ERISA
-
Putting ESG into Practice with Clients and Prospects
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! A certificate of completion will be emailed to all attendees who turn in their documents following the conclusion of the session. Bonnie Treichel, Chief Solutions Officer, Endeavor Retirement
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.Mark Luckinbill, Executive Director, NTSA
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.
