Scott Liggett, JD, is an attorney with Prime Capital Investment Advisors’ Qualified Plan division. As a member of the 401(k) team, Scott offers over 20 years of financial services legal experience and provides legal and consulting services for 401(k), profit sharing, pension, ESOP, KSOP, cash balance, and non-qualified executive benefit retirement programs nationwide. Scott’s retirement plan clientele have ranged from one to 2,500 participants, with plan asset sizes ranging from a start up plan to those with over $300 million in assets.
Scott’s experience includes preparing and presenting quarterly and annual retirement plan reviews together with plan modification studies and recommendations; negotiating and preparing plan documentation, including trust documents, adoption agreements, resolutions, amendments, and related correspondence; reviewing nondiscrimination testing results and making applicable recommendations to plan sponsors; researching and interpreting IRS, DOL, and ERISA statutes, regulations and precedent; presenting annual actuarial valuation study results to defined benefit pension plan sponsors; conducting enrollment and educational meetings with plan sponsors and participants and preparing and reviewing requests for proposal submissions (RFPs). In addition, Scott has made numerous retirement plan related presentations at trade conventions, conferences, seminars and working groups.
His areas of experience beyond retirement programs include business continuity issues such as corporate structure, succession plans and mergers and acquisitions. He has successfully worked with a variety of business entities on various legal and financial matters.
Scott earned a Bachelor of Arts degree in business from Chadron State College and a Juris Doctor degree from the University of Nebraska College of Law. He currently holds FINRA Series 6, 63 and 65 securities licenses and the American Association of Pension Actuaries PA-1 and PA-2 designations. In addition, Scott is a member of the Kansas Bar Association.
Scott is active with his three children, Maggie, Nolan and Carly. In his free time, he enjoys following college sports.