Due Diligence

Met with:

Corrine Robles

Discussed Buffered stock market based investments, focusing on the NASDAQ. Also reviewed living benefits and current variable annuity offerings.

Attendees: Greg Tobey and Dan Romero
Location: Sushi @ Sushi
Time: 1:15pm
Estimated Cost: $60

Met with:

R. Ryan Capalbo MBA, CRPC

We discussed buffered stock market linked investments along with current market conditions.

Attendees: Greg Tobey and Dan Romero
Location: Monarch Beach
Time: 12:00pm
Estimated Cost: $300

Met with:

Dori Hetrick

We discussed fixed income markets, large cap stocks within the NASDAQ and dynamic covered call strategies to generate income while maintaining potential for capital appreciation.

Attendees: Greg Tobey and Dan Romero
Location: El Matatan
Time: 1:15pm
Estimated Cost: $60

Met with:

Mary Kate Radloff

Discussed their 401k platform. They have an unbundled TPA model and a bundled for Larger plans.  Discussed marketing materials and employee wellness tools.  We also discussed specific managers that we utilize in our 401(k) plans.

Attendees: Greg Tobey, Dan Romero & Jason Martinez
Location: Sushi @ Sushi
Time: 1:15pm
Estimated Cost: $90

Met with:

Drew Mayo

Discussed Global and overseas markets.

Attendees: Greg Tobey
Location: Reunion Kitchen & Drink
Time: 1:15pm
Estimated Cost: $30

Met with:

Alisa Guetzkow

We discussed the economy, utilities and international exposure.

Attendees: Dan Romero & Greg Tobey
Location: Kind’s Fish House
Time: 1:15pm
Estimated Cost: $60

Met with:

Jon Beuerlein

Discussed California Municipal market and equity income opportunities

Attendees: Daniel Romero Greg Tobey
Location: L.A.C.C.
Time: 12:00PM
Estimated Cost: $300

Met with:

Brian Rotter

We discussed the fixed income market, the economy and touched based on some of their products.

Attendees: Dan Romero & Greg Tobey
Location: Sushi @ Sushi
Time: 1:15pm
Estimated Cost: $60

Met with:

Marissa Force

Discussed Buffered stock market based investments, focused on S&P 500 and dual directional.   Also reviewed living benefits thru index products.

Attendees: Greg Tobey and Dan Romero
Location: King’s Fish House
Time: 1:15pm
Estimated Cost: $60

Met with:

Dennis J. Meade Jr. and Sean Scanlon

We discussed RILA concepts, the economy, and the political climate.  We walked thru various products currently offered including living benefits.

Attendees: Dan Romero & Greg Tobey
Location: Reunion Kitchen & Drink
Time: 1:15pm
Estimated Cost: $50