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What are the conditions under which a current or prospective client is likely to consider an IRA rollover?

While there are many reasons a client may be considering a rollover or transfer of assets to an IRA, three very common situations are:

  1. The client will be retiring and will be deciding if he or she should roll his or her retirement plan assets out of the plan or leave them in the plan.
  2. The client may have changed jobs and is deciding whether to a) leave his or her retirement plan assets in the former employer’s plan; b) rollover the retirement plan assets into the new employer’s plan; or c) rollover the retirement plan assets into an IRA account, presumably with your firm.
  3. The client may be consolidating multiple IRAs into a single IRA, or otherwise moving an existing IRA account from another provider to your firm.

 

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