Service Provider Excellence Certification

Certified By the Center For Fiduciary Excellence

On January 18, 2012, Cetera Retirement Plan Specialists received a prestigious Service Provider Excellence Certification from the Center for Fiduciary Excellence (CEFEX). Cetera Retirement Plan Specialists is among the first in the United States to successfully complete this certification process for retirement plan service providers1.

What it Means if You Are an Advisor

Complying with pension laws and the tax code can be difficult and time-consuming for business owners. Our clients appreciate the time savings and accuracy gained by outsourcing to specialists the development of plan documents, government filings and tax reporting.


Cetera Retirement Plan Specialists, a third-party administrator, is among the first in the United States to have successfully undergone this self-imposed and rigorous annual due diligence process. It demonstrates the level of commitment we have taken in working for the benefit of plan sponsors and the financial professionals who serve them.2

Standard of Care

This certification illustrates Cetera Retirement Plan Specialists adherence to industry best practices in the plan design process, as well as to providing timely and accurate ongoing compliance and government reporting services to your clients.3


This certification confirms to the financial professionals who work with Cetera Retirement Plan Specialists and plan sponsors who hire our team that we have addressed the requirements of ERISA 408(b)(2) fee disclosure regulations.

What it Means if You Are an Employer or Plan Participant

Peace of Mind

In a time of general anxiety in the financial industry, trust is more important than ever. Trust is critical to employers who retain firms that provide support services to plan fiduciaries. This certification by an independent audit entity is a vote of confidence for the integrity of the service approach, process and delivery employed by Cetera Retirement Plan Specialists.


In light of the ever-changing regulatory environment, it is vital for employers to be aligned with a partner who can provide quality support in fulfilling their role as plan fiduciaries. The CEFEX certification shows that Cetera Retirement Plan Specialists practices follow the rigorous standard of practice in helping employers fulfill their fiduciary obligations.


This certification demonstrates that Cetera Retirement Plan Specialists has implemented policies and procedures to help employers fulfill complex regulatory requirements and has the infrastructure in place to provide these services without interruption.4

1 Source
2 Certificate of Registration
3 The Standard of Practice
4 Assessment Process

Service Provider Excellence Certification

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