Personal Finance – What are structured notes and should I invest? 1 Credit
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Most people are unaware of what a structured note is, and even fewer understand how it works. Unfortunately, many investment advisors don’t fully understand and explain the risks of investing in structured notes. There has been an increase in FINRA complaints and arbitrations as these investments have been made available for lower investment thresholds to retail investors.
In this CPE Finance course, we aim to focus on the high risks involved in investing in these securities. Understanding the intricacies of structured notes is crucial for making informed investment decisions, and our course will equip you with the knowledge needed to navigate this complex financial product effectively.
Major Topics Covered:
Join this online CPE webinar, we will explain what a structured note is, and the advantages and disadvantages of structured notes. We will specifically discuss the high risks of investing in these securities.
| License details | Credits | Status |
|---|---|---|
| Finance for Certified Public Accountants (CPA-US) | 1 CPE | Approved |
| Finance for CPA in Canada | 1 CPD | Eligible |
| Investment Planning for Personal Financial Specialist (PFS) | 1 CPD | Eligible |
| Finance for Chartered Financial Analyst (CFA) | 1 PL | Eligible |
| Finance for Delaware Licensed Public Accountant (DE-LPA) | 1 CPE | Eligible |
| Investments for Chartered Financial Consultant (ChFC) | 1 CE | Eligible |
| Association of Chartered Certified Accountants (ACCA) | 1 CPD | Eligible |
| Financial Planning for Certified Wealth Strategist (CWS) | 1 CE | Eligible |
| Chartered Accountant - ICAEW | 1 CPD | Eligible |
| Financial Planning for Certified Fiduciary and Investment Risk Specialist (CFIRS) | 1 CE | Eligible |
| Investments for Retirement Income Certified Professional (RICP) | 1 CE | Eligible |
| Investments for Wealth Management Certified Professional (WMCP) | 1 CE | Eligible |
| Investments for Financial Services Certified Professional (FSCP) | 1 CE | Eligible |
| Finance for Iowa Licensed Public Accountant (IA-LPA) | 1 CPE | Eligible |
| Finance for Maine Licensed Public Accountant (ME-LPA) | 1 CPE | Eligible |
| Investments for Chartered Special Needs Consultant (ChSNC) | 1 CE | Eligible |
| Investment Planning for Certified Financial Planner - Canada (Approval No. 13877) (Valid upto : Aug 31, 2025) | 1 CE | Approved |
| Investments for Chartered Advisor in Senior Living (CASL) | 1 CE | Eligible |
| Investment Decision Making for CIPM | 1 PL | Eligible |
| CPA - Ireland | 1 CPD | Eligible |
| Chartered Accountants - Scotland | 1 CPD | Eligible |
| Investment Planning for Qualified Associate Financial Planner (QAFP) (Approval No. 13877) (Valid upto : Aug 31, 2025) | 1 CE | Approved |
| Chartered Accountants - Ireland (CAI) | 1 CPD | Eligible |
| License details | Credits | Status |
|---|---|---|
| Finance for Certified Public Accountants (CPA-US) | 1 CPE | Approved |
| Finance for CPA in Canada | 1 CPD | Eligible |
| Investment Planning for Personal Financial Specialist (PFS) | 1 CPD | Eligible |
| Investment Decision Making for Chartered Financial Analyst (CFA) | 1 PL | Eligible |
| Finance for Delaware Licensed Public Accountant (DE-LPA) | 1 CPE | Eligible |
| Investments for Chartered Financial Consultant (ChFC) | 1 CE | Eligible |
| Investment Planning for Certified Financial Planner (CFP-US) (Approval No. 321335) (Valid upto : Dec 31, 2024) | 1 CE | Approved |
| Association of Chartered Certified Accountants (ACCA) | 1 CPD | Eligible |
| Financial Planning for Certified Wealth Strategist (CWS) | 1 CE | Eligible |
| Chartered Accountant - ICAEW | 1 CPD | Eligible |
| Financial Planning for Certified Fiduciary and Investment Risk Specialist (CFIRS) | 1 CE | Eligible |
| Investments for Retirement Income Certified Professional (RICP) | 1 CE | Eligible |
| Investments for Wealth Management Certified Professional (WMCP) | 1 CE | Eligible |
| Investments for Financial Services Certified Professional (FSCP) | 1 CE | Eligible |
| Finance for Iowa Licensed Public Accountant (IA-LPA) | 1 CPE | Eligible |
| Finance for Maine Licensed Public Accountant (ME-LPA) | 1 CPE | Eligible |
| Investments for Chartered Special Needs Consultant (ChSNC) | 1 CE | Eligible |
| Investment Decision Making for CIPM | 1 PL | Eligible |
| Chartered Accountants - Ireland (CAI) | 1 CPD | Eligible |
| Chartered Accountants - Scotland | 1 CPD | Eligible |
| CPA - Ireland | 1 CPD | Eligible |
| Investments for Chartered Advisor in Senior Living (CASL) | 1 CE | Eligible |
Credit
Course Level
Instructional Method
Pre-requisites
Advance Preparation
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Dr. Minniti is the President and Owner of Minniti CPA, LLC. Dr. Minniti is a Certified Public Accountant, Certified Forensic Accountant, Certified Fraud Examiner, Certified Valuation Analyst, Certified in Financial Forensics, Master Analyst in Financial Forensics, Chartered Global Management Accountant, and is a licensed private investigator in the state of Arizona. Dr. Minniti received his doctoral degree in business administration from Walden University, received his MBA degree and Graduate Certificate in Accounting from DeVry University’s Keller Graduate School of Management, and received his Bachelor of Science in Business Administration degree from the University of Phoenix. Dr. Minniti taught graduate and undergraduate courses in forensic accounting at DeVry University, Grand Canyon University, Kaplan University, Northwestern University, and the University of Phoenix.
He designed graduate and undergraduate courses for Grand Canyon University, Northwestern University, and Anthem College. He is a writer and public speaker. He has experience in forensic accounting, fraud examinations, financial audits, internal audits, compliance audits, real estate valuations, business valuations, internal control development, business continuation planning, risk management, financial forecasting, and Sarbanes-Oxley compliance work. Dr. Minniti is an instructor teaching continuing professional education classes for the American Institute of Certified Public Accountants, Compliance Online, CPE Link/CCH . AccountingEd, Global Compliance Panel, Clear Law Institute, CPE Solutions, Canopy CPE, The Institute of Management Accountants, the National Association of Valuators and Analysts, the Association of Certified Fraud Examiners, the Institute of Internal Auditors, and various state CPA Societies.
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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.
Yes, all our live webinars are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the high standards for quality, interactivity, and educational content set by these organizations.
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.
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 recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.
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.
TN
Good seminar. Our family investment office had been pitched structured notes by a major Canadian brokerage pre-COVID. We a) didn't grasp them because of the complexity, b) didn't like the illiquidity, and c) didn't like that, because they were based on a blue-chip Canadian telco, likely turned a tax-efficient dividend payment into some other form of income with possible negative tax consequences. We eventually declined the notes, and moved on.
As always, Dr. Minniti provides a first rate presentation, always disciplined to end the meeting EXACTLY on time. I do not deal with structiured notes, nor do my clients. I do believe that knowledge is always precious. Thank you, Dr. Minniti
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