Compliance Tracker — Providence Legacy Advisors

Document immediately: Write down what was said, when, by whom, and how (phone, email, in person)
Assess: Is this an informal concern you can quickly resolve, or a formal complaint requiring a written response?
Escalate to Jose: All complaints should be brought to Jose's attention
Respond in writing: Even for informal complaints, send a follow-up confirming the resolution
Keep records: Maintain all complaint documentation for at least 5 years
Assess for ADV disclosure: Certain complaints (especially those involving regulatory action or arbitration) may need to be disclosed in the Form ADV

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Plan Not Yet Initiated — Tasks shown for planning purposes. The Safe Harbor 401(k) plan is being established for the calendar year January 1 – December 31. Update your plan start date with your TPA when the plan is formally adopted, then begin tracking these tasks from that point forward.

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✅ Task Completed