DOL fiduciary rule negative consent letter

Hello Everyone:

Regarding the new DOL fiduciary rule, does anyone have a sample negative consent letter that will be required for existing clients under the new rule that they would be willing to share (or know where I can find one)? Any thoughts are welcome and appreciated.

Thanks,

Darren

Comments

  • I would appreciate one, too.

    Dallas Smith Main
    Vice President, Marketing Communications & Compliance Administrator

    POLARIS INVESTMENT PARTNERS INC
    30 Fenwick Hall Alleé
    Johns Island, SC 29455
    (843)414-4000          FAX: (843)414-4001
    (800)344-9101

  • I would like this, as well.

     
      ______________________________________________
    Laurie M. Keegan
    Chief Compliance Officer



    4520 East-West Highway  |  Suite 450
    Bethesda, MD 20814
    Tel: 301-657-8870  |  Fax: 301-657-0866
    email:Laurie@FBBCap.com
     

  • Add me to the list please. Thank you

  • edited May 2017
    I would like a copy of this as well.

     
     
    | Teresa L. Burch | Atwood & Palmer, Inc. | 4520 Madison Ave, Suite 200, Kansas City, MO 64111 |
    ||Phone 816.931.2266 || Direct 816.872.3954 ||fax 816.931.0864
    ||email  tburch@atwoodpalmer.com | ||www.atwoodpalmer.com
     
  • I would like a copy as well.
    Thanks!

  • I'd appreciate seeing one also. Thanks!

    Adam S. Plotkin
    804-402-5100
    iPhone. iTypos. iApologize.

  • I would like one as well please

    Regards
    Allison Jaffe

  • Can you circulate to the entire group?

  • edited May 2017
    While we probably will not use one, would appreciate seeing a sample also.

    Robert E. Frey, CFP
    Lakeside Advisors, Inc.
    KMS Financial Services, Inc.
    1115 East Denny Way
    Seattle, Washington 98122-2427

    206-285-1730
    206-267-2316 (FAX)

    bob@lakesideadvisors.com

    www.lakesideadvisors.com

  • I would also be interested if possible.

    Jacqueline Parker
    Operations Manager


    Arista Wealth Management
    10091 Park Run Drive #200 | Las Vegas, NV 89145
    O: 702-309-9970 | T: 877-309-9970 | F: 702-974-0710
    Nevada | Arizona | Utah |
    www.aristawealth.com

  • Count me in too!

    Mary Beth Grabel
    Chief Compliance Officer
    DeRoy & Devereaux Private Investment Counsel, Inc.
    2000 Town Center, Suite 2850
    Southfield, MI 48075
    (P) 248-358-3220
    (E) mbgrabel@deroydevereaux.com

  • Please provide to me as well.

    Thank you!

    CATHY PETERS
    Chief Compliance Officer
    TF: 877.885.0508 F: 651.604.8327 Direct: 651-202-3543
    cpeters@gradientadvisors.com | www.gradientadvisors.com
    4105 Lexington Avenue North Suite #310 | Arden Hills, MN 55126

    **PLEASE NOTE OUR SUITE # HAS CHANGED TO SUITE 310. PLEASE UPDATE ALL MAILING LISTS**


  • Please, me as well..........
    Thank you in advance!

    Best regards,

    Lori L. Duquette
    Chief Compliance Officer
    15525 Sand Canyon
    Irvine, CA 92618
    Direct (949) 885-2343
    Fax (949) 809-6343
    lduquette@wga.com

  • edited May 2017
    I would appreciate too. Thanks!

    Brandi McMahon
    Compliance Officer
    Westfield Capital Management Company, LP
    One Financial Center, 23rd Floor
    Boston, MA 02111
    T: 617 428 7136
    F: 617 249 1744
    bmcmahon@wcmgmt.com
    www.westfieldcapital.com


  • Please send to me as well. Thanks for your help.


    Mary Anne Vilyus
    Vice President & Compliance Associate
    Private Harbour Investment Management
        & Counsel, LLC
    29525 Chagrin Boulevard, Suite 110
    Pepper Pike, OH 44122
     
    Main:   (216) 292-5700
    Direct:  (216) 360-2075
    Fax:     (216) 292-5719
    mvilyus@privateharbour.com
    Website:  www.privateharbour.com

  • I would appreciate a copy as well.
    Thanks Kori


    Kori Cusick
    CCO
    Transamerica Retirement Advisors, LLC
    4333 Edgewood Rd NE
    Cedar Rapids IA 52249
    Kori.Cusick@transamerica.com




  • Could I please receive one as well?

    Thank you

    Steve Goff | Managing Director
    SCS Financial Services, LLC
    One Winthrop Square | Boston, MA | 02110
    Direct: 617.204.6424 | Mobile: 617.967.5128
    sgoff@scsfinancial.com
    www.scsfinancial.com
    [SCS Financial]

  • edited May 2017
    I would like to receive one as well.

    Thank you,
    Joanna

    Joanna St.Clair, CCO

    Tucker Financial Services, Inc.
    425 Phoenix Drive
    Chambersburg, PA 17201
    717-267-1426

    tuckerfs@tuckerfinancialservices.com

  • I would like a copy also.
    Thanks.

    Karla K. Moore
    Chief Compliance Officer
    Corbyn Investment Management
    2330 West Joppa Road, Suite 108
    Lutherville, MD 21093
    (410) 832-5500
    (410) 832-2832 fax
    kmoore@greenspringfund.com

  • edited May 2017
    Hey gang, enough with the “me-to’s” OK? Some of your fellow members are complaining to me about this rash of responses. We get it. If someone has a negative consent letter, they’ll post it for everyone. Thanks, Carl

  • Me too please!

  • Count me in as well.

    Thanks.
    Maureen Quigley
    Howland Capital Management

  • edited May 2017
    Now Maureen, I asked yesterday that we don't do this anymore, ok? It annoys your fellow members to fill up their email boxes with these "me-too" messages (and they complain to me about it).

    Please folks, no more. Thanks, Carl

  • Apologies, Carl! I did not see your message yesterday and thought that somehow "Reply All" was the trend.

    Maureen

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