Sarah Cattan

Sarah Cattan — Investment Adviser Representative, 401(k) Retirement Plan Specialist     

Education:

  • University of Louisville, Bachelor of Science in Business Administrative
    Graduated 2012

Employment:

  • Start Date – 3/26/2018

Licenses, Registrations & Certifications include:

  • FINRA Series 6 – Investment Company Products & Variable Contracts Representative
  • FINRA Series 63 – Uniform Securities Agent State Law
  • FINRA Series 65 – Uniform Investment Adviser Law

Professional Development:

  • Soon to start pursuing her Accredited Investment Fiduciary® Designation

Day-to-day Tasks:

  • Business development – Calling on local small to medium size businesses for 401(k) management
  • 401(k) plan comparisons – Analyzing company 401(k) plans fees, expenses and investment selections
  • Client Services – Meetings with 401(k) plan sponsors to provide 3(21) or 3(38) fiduciary services

Time Allocation:

  • Plan Sponsor Meetings – 15%
  • Participant Education Meetings – 15%
  • Business Development – 40%
  • Wealth Management Services with Business Owners – 30%