Broker Check

Around the Office - August 2014

| September 03, 2014
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E3: Engage, Educate, Empower

We recently launched our new E3 Strategy, designed to assist the underserviced Qualified Retirement Plan market in and around Fairfield County. This strategy represents our focus to Engage, Educate, and Empower (E3) participants at the plan level and is mutually beneficial for the company sponsoring the plan and its participants. The hope is that employees will feel empowered to make financial decisions with the guidance of an engaged financial professional, resulting in a greater commitment to the company and saving for retirement.

Whether you have a Qualified Retirement Plan that needs some TLC or are a plan participant with some unanswered questions, we invite you to reach out to us at 203.255.6022 or

Paperless Office

This fall, our goal of achieving a paperless office is closer than ever. With the launch of our new website and our increased social media presence, led by our operations associate Liz Ward, we are delivering more content to our clients than ever before - all without using one piece of paper!  If you have yet to experience our social media channels, please do so at: 


Also, we can now deliver your monthly statements, fund prospectuses, and periodic PM reports via email. To do so contact Liz at  Lastly, we encourage you to let us know not only if you want to go paperless, but also if you love viewing your information on a good old fashioned piece of paper. While going paperless has become a mission of ours, our number one goal is to make sure that you have all the information you need when you need it and in the form that suits you best.

Fall Semester at Rocco & Associates

After spending the summer back in Boston working for EY (formerly Ernst & Young), Chris Ruta is returning in the capacity of Business Development Coordinator. Chris’ role will be to assist Eric in executing our business development strategy. As many of you may remember, Chris joined Rocco & Associates last spring as our Business Development Intern. Chris will be graduating from Fairfield University next year with a degree in Accounting and Finance. He looks forward to seeing some of you at our next event!

Additionally, we are proud to announce our continued internship program this semester. The Business Development Internship is designed to give each candidate a true look at all facets of the business, including business development, social media, financial analysis, portfolio creation, operations, and research.

Beneficiary Review

Although it’s not something that you ever want to think about it, it is important to periodically review your beneficiary arrangements to make sure that they are in line with your current needs. Whether you are looking to update your beneficiaries or are just making sure that your family is taken care of, we would be happy to review all of your accounts with you, or with you and your beneficiaries. You are encouraged to include your beneficiaries in the meeting because it helps them know what to expect and prepare for the future. As a reminder, your confidentially is of the utmost importance to us, so what you decide to disclose to your beneficiaries in the meeting is entirely up to you; it can be as technical or as philosophical as you wish. Also, we will never contact your beneficiaries directly without your express permission.

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