MYCPE ONE

Communication with the Financial Planning Client 2 Credits 2 Credits

Mar 28, 2025, 11:00 AM EDT

Communication with the Financial Planning Client 2 Credits 2 Credits

Engagement Letters, Meetings, Oral and Written Communications

  • Warren Bergstein

    | CPA, AEP©

  • Rating

    4.5

  • Reviewed on

    February, 2025

  • Subject Area

    Finance

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Mar 28, 2025, 11:00 AM EDT

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AI Review Summary

Generated by AI based on all course reviews

Learning Objectives

  • Define communication and interpersonal skills in financial planning engagements
  • Analyze interpersonal communication techniques: active listening, questioning, clarification, and silence
  • Explore non-verbal strategies like body language and emotional cues
  • Discuss the significance of the engagement letter and effective presentation methods
  • Examine the role of data gathering and information documents in financial planning
  • Explain diverse communication techniques for understanding and identifying client objectives, as well as maintaining ongoing client engagement

Course Overview

This CPE course will review the importance of good communication skills during the first three steps of the financial planning process. 

We will discuss effective ways financial planners can utilize interpersonal communication strategies to collect data and information from clients, listen to clients and understand their needs, and prepare clear documents that are clear and specific to the engagement. 

Effectively communicating with customers is essential to the success of any business. Adapting to the different communication styles and emotions of customers will help you build customer relationships through better customer conversations. Improving conversations with customers enables efficient, high-quality client service.

Key Topics Covered: 

  • Communication - Definition
  • The occurrence of communication 
  • Communication styles
  • Planners as counselors 
  • Applying communication techniques to the financial planning process

This CPE webinar by Warren Bergstein will address oral communications, written communications, and more especially questionnaires and engagement letters to make all parties in agreement with the parameters and goals of the parties.

On Demand Credits for All Qualifications

Live Webinar Credits for All Qualifications

License details Credits Status
Finance for Certified Public Accountants (CPA-US) 2 CPE Approved
Finance for Chartered Professional Accountant in Canada 2 CPD Eligible
Corporate Finance for Certified Management Accountants (CMA) 2 CPE Eligible
Finance for Certified Valuation Analyst (CVA) 2 CPE Eligible
Finance for Delaware Licensed Public Accountant (DE-LPA) 2 CPE Approved
Certified Treasury Professional (CTP) 2 CE Eligible
Association of Chartered Certified Accountants (ACCA) 2 CPD Eligible
Chartered Accountant - ICAEW 2 CPD Eligible
General finance principles and financial concepts for Certified FP&A Professional (FP&A) 2 CE Eligible
Finance for Certified Business Appraiser (CBA)/Master Certified Business Appraiser (MCBA) 2 CPE Eligible
Finance for Iowa Licensed Public Accountant (IA-LPA) 2 CPE Approved
Professional Development for Personal Financial Planner (PFP) 2 CE Eligible
Finance for Maine Licensed Public Accountant (ME-LPA) 2 CPE Approved
Chartered Accountants - Scotland 2 CPD Eligible
CPA - Ireland 2 CPD Eligible
Chartered Accountants - Ireland (CAI) 2 CPD Eligible
Professional Development for Estate & Trust Professional (MTI) 2 CE Eligible
Professional Development for Designated Financial Services Advisor (DFSA) 2 CE Eligible
License details Credits Status
Finance for Certified Public Accountants (CPA-US) 2 CPE Approved
Finance for Chartered Professional Accountant in Canada 2 CPD Eligible
Corporate Finance for Certified Management Accountants (CMA) 2 CPE Eligible
Finance for Certified Valuation Analyst (CVA) 2 CPE Eligible
Finance for Delaware Licensed Public Accountant (DE-LPA) 2 CPE Approved
Certified Treasury Professional (CTP) 2 CE Eligible
Association of Chartered Certified Accountants (ACCA) 2 CPD Eligible
Chartered Accountant - ICAEW 2 CPD Eligible
General finance principles and financial concepts for Certified FP&A Professional (FP&A) 2 CE Eligible
Finance for Certified Business Appraiser (CBA)/Master Certified Business Appraiser (MCBA) 2 CPE Eligible
Finance for Iowa Licensed Public Accountant (IA-LPA) 2 CPE Approved
Professional Development for Personal Financial Planner (PFP) 2 CE Eligible
Finance for Maine Licensed Public Accountant (ME-LPA) 2 CPE Approved
Chartered Accountants - Scotland 2 CPD Eligible
CPA - Ireland 2 CPD Eligible
Chartered Accountants - Ireland (CAI) 2 CPD Eligible
Professional Development for Estate & Trust Professional (MTI) 2 CE Eligible
Professional Development for Designated Financial Services Advisor (DFSA) 2 CE Eligible

Additional Information

Credits

2

Credits

2

Course Level

Advanced

Instructional Method

QAS Self Study

Group Internet Based

Pre-requisites

None

Advance Preparation

None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

Elevate your valuation expertise with MY-CPE's top-tier CTP CE Courses, tailored specifically for professionals looking to advance in the field of Certified Treasury Professional. At MY-CPE, we pride ourselves on offering courses that not only fulfill your CPE requirements but also enhance your understanding and skills. Our comprehensive selection of CTP CE courses is designed to keep you at the forefront of valuation knowledge, ensuring you remain competitive and proficient in your career.

About Instructor

Warren Bergstein

Warren Bergstein | CPA, AEP©

Account Executive, Adelman Katz & Mond LLP

  • 4.4
  • rating
  • rating
  • rating
  • rating
  • rating

More than forty years of practice in tax planning, estate and trust administration and planning, personal financial planning and accounting have given Warren an extraordinarily deep understanding of personal finance. At his New York City firm, Adelman, Katz & Mond LLP, his clients, who include primarily high net worth individuals, entrepreneurs and sole proprietors, benefit from his particular expertise in tax law, its applications and implications for individuals. Warren is an adjunct professor of accounting and taxation at Long Island University, New Jersey City University, and Rutgers Business School. He has spoken at the Institute of Management Accountants, both the New York and Long Island chapters of Financial Planning Association, the New York State Society of CPAs, New York University, and Lorman Educational Services. In addition, he is an accomplished author, and has regularly contributed to publications the experts rely on, like Marshall Loeb's Money Guide, Taxation for Accountants, and The CPA Journal. Warren has been very active in professional organizations, and has frequently been elected as president, board member or committee chair. Warren is a fan of local sports teams.  He also likes to read biographies and books on current events. He and his wife, Susan, live in Langhorne, PA. They have two children, Sam and Robin, and a granddaughter, Reily

On Demand FAQs

What is Self Study (QAS)?

Self Study QAS (Quality Assurance Service) is a NASBA and other regulatory bodies approved program designed for Professionals to complete their Continuing Professional Education credits through self-paced, interactive courses that meet the highest standards of quality and compliance. Our courses qualify for credits with NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other professional organizations.

How do I earn CPE credits through self-study?

To earn CPE credits, you must complete the self-study course, pass the required assessments, and submit the necessary documentation. Credits are awarded based on the completion of course hours and successfully passing the assessments.

Are the self-study courses accepted by NASBA and other professional organizations?

MY-CPE LLC courses are accepted for continuing education credit by various professional certification programs, including NASBA, IRS, CFP Board, and HRCI. MY-CPE LLC is also recognized by SHRM to offer Professional Development Credits (PDCs) for SHRM-CP® and SHRM-SCP® recertification activities.

What are the requirements to maintain compliance with self-study courses?

To maintain compliance, you must follow the guidelines set by NASBA and other regulatory bodies, which include completing the course within the specified timeframe, passing the assessments, and keeping accurate records of your learning activities.

How can I access my course completion certificates?

After successfully completing a self-study course and passing the assessments, you can access and download your course completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other professional organizations for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

Live Webinar FAQs

What is a Live Webinar Group Internet-Based Credit?

A Live Webinar Group Internet-Based Credit is an interactive, real-time online seminar where professionals can earn Continuing Education credits by participating in live sessions led by experts in various fields. Our courses qualify for credits with NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other professional organizations.

How do I earn credits through live webinars?

To earn credits, you must attend the entire live webinar, actively participate in any polls or questions, and complete any required evaluations or assessments. Credits are awarded based on your attendance and participation in the live session.

Are the live webinars accepted by NASBA and other Professional Organizations?

MY-CPE LLC courses are accepted for continuing education credit by various professional certification programs, including NASBA, IRS, CFP Board, and HRCI. MY-CPE LLC is also recognized by SHRM to offer Professional Development Credits (PDCs) for SHRM-CP® and SHRM-SCP® recertification activities.

What are the requirements to maintain compliance with live webinar courses?

To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.

How can I access my webinar completion certificates?

After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are accepted for compliance and reporting purposes with NASBA, IRS, CFP Board, HRCI, SHRM (for PDCs), Payroll Org, FP Canada, and 25+ other professional organizations.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

Reviews and Ratings

out of 5

Excellent (60%)

Very Good (30%)

Average (10%)

Poor (1%)

Terrible

MK

Mason Krangle, CPA (US)

5

Excellent presentation. The instructor was very knowledgeable and provided real word examples which made the course more interesting and useful. Highly recommend!

BS

Bhanvi Sharma, Others

5

The instructor really inculcated his personal experience to connect things and explain in an even better manner.

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