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Non-Fiduciary Education Under Final DOL Rule


Craig Howell has spent the last seven years in business development with Ubiquity Retirement + Savings, a FinTech organization focused on delivering simple, low-cost, retirement savings plans for small businesses and their employees.


April 15, 2016 at 8:56 am


Craig Howell, VP of Business Development at Ubiquity Retirement + Savings, spoke to PLANADVISER about how the education clause in the DOL fiduciary rule will affect the future of the industry.

“Being steeped in this part of the industry, I have something of a biased point of view, but we feel great about the possibilities of this business model moving forward under the final fiduciary rule,” Howell adds. “This is the model that will work for advisers who truly think of themselves as advisers, not as salesmen or brokers. That is the real division that is going to open up and that DOL wants to see being made clearer—the division between true retirement advisers and your more sales-oriented brokers.”

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