Carruth Compliance Consulting

     Retirement Readiness      For Employees      For Employers      For Vendors      About Us      Contact Us 

    Login   
Skip Navigation Links.
Click here for our new wizard online voucher request system.

Smith Barney
(aka: Smith Barney)
Vendor General Information

This Vendor Page has not been approved by Smith Barney,
but the information provided should be useful to you.

Smith Barney (aka: Smith Barney) - General Status

Smith Barney will not accept contributions into 403(b) accounts after December 31, 2008. They will continue to manage existing account but will not accept new contributions into the accounts. As of 2009 Smith Barney due to the burden of record keeping will not be involved in the 403(b) business.

Smith Barney (aka: Smith Barney) Web Homepage

Smith Barney has NOT provided any link to its home office webpage at this time.

Product Information

Click the link(s) below for information on Smith Barney investment products:

  • End of List

Fee Information

Click the link(s) below for information on the fees associated with Smith Barney accounts:

  • End of List

403(b) Investment Options

Smith Barney offers the following type(s) of 403(b) investment option:

  • End of List

Roth 403(b) Contribution Policy

Smith Barney does NOT accept Roth 403(b) contributions.

Marketing Information

Investment products of Smith Barney are marketed using the following approaches:

  • End of List Declared by Smith Barney

Helpful Employee Resources

Smith Barney has not provided a weblink to any online consumer education or financial planning tools or calculators they may or may not offer to assist participants with financial planning and education. The moment Smith Barney provides a weblink to us, we'll post it here immediately.

Active in Other CCC Employer 403(b) Plans

To see which other CCC Employers hold Active Payroll Slots with Smith Barney, please visit our General Smith Barney Page.

Vendor Page Maintainance

Vendors may manage their own CCC website pages via authorized logins available upon request. Vendors are invited to update their company and Employer-specific information (Plan or Group Number, Local Contacts, Product Information, Forms, etc.) regularly.

Vendor Forms and Online Submissions Links

Smith Barney has not provided copies of or links to any Vendor Forms. Please contact Smith Barney to request any forms you might need.

 

Employers for which Smith Barney (aka: Smith Barney) is Eligible to Receive Contributions

Important: The list below represents those Employers in whose 403(b) Plans Smith Barney holds an Active Payroll Slot:

  • End of List

Important: The list below represents those Employers in whose 403(b) Plans Smith Barney holds an Inactive Payroll Slot:

Employers for which Smith Barney is Eligible to Receive Exchanges, Transfers, and Rollovers

Important: The list below represents those Employers in whose 403(b) Plans Smith Barney is eligible to receive exchanges, transfers, and rollover contributions because Smith Barney has signed a Direct Information Sharing Agreement with Employers in this list:

Employers for which Smith Barney is an Orphaned Vendor

An Orphaned Vendor is a Vendor that received contributions under the Plan during the period 1/1/2005 through 12/31/2008, but has not and will not receive Contributions, Exchanges, Transfers, or Rollover Contributions into Accounts under the Plan after 12/31/2008. The list below represents those Employers in whose 403(b) Plans Smith Barney is classified as an Orphaned Vendor:

Employers for which Smith Barney is a Deselected Vendor

Important: A Deselected Vendor is a vendor that held an Active or Inactive Payroll Slot an employer's 403(b) Plan and received contributions after 12/31/2008, but the vendor is no longer eligible to receive contributions in the plan. The list below represents the employer 403(b) plans where Smith Barney is a Deselected Vendor.

  • End of List

Employers for which Smith Barney is a Grandfathered Vendor

Important: The list below represents those Employers in whose 403(b) Plans Smith Barney is classified as a Grandfathered Contribution Vendor:

  • End of List

Important: The list below represents those Employers in whose 403(b) Plans Smith Barney is classified as a Grandfathered Exchange Vendor:

  • End of List