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How To Choose The Right Financial Advisor

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Before starting this self study program, please go through the instructional document.


  • Definition of Financial Advisor
    3 mins
  • Types of Licenses
    6 mins
  • Terms, Titles and Designations
    20 mins
  • Aite Group Study
    28 mins
  • Fiduciary vs Suitability Standards
    44 mins

Course Description

Financial planning is the requirement of the day for all. Without a trusted financial advisor who understands your requirements and help you fulfill it, it is difficult to navigate through the jungle of available financial planning options. Thus the key question come to the mind is how you can be sure that some one you have trusted is the right fit for you. 

A financial advisor should be a trusted individual who has complete transparency and who looks out for their client's best interests at all times. That said, many in this field are known for misrepresenting their credentials, using phony titles, or misstating facts to sell products. There's even a chance they're not licensed, or at best, barely qualified to give accurate advice. There are even some secrets that a financial advisor may not want you to be aware of, which can be costly to your clients in the long-run.

With so much confusing terminology, such as Registered Investment Advisors (or "RIAs"), investment advisors, registered representatives, stockbrokers, and insurance agents, this online CPE webinar aims to teach the difference between all the different types of financial advisors and how they are compensated.

Key topics discussed in this CPE webinar:

  • Different types of financial advisors
  • Methods of compensation of different financial advisors
  • Questions to ask a financial advisor

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Learning Objectives

  • To identify the different types of licenses
  • To identify terms, titles, and designations
  • To define compensation structures such as fees, commissions, revenue sharing, and proprietary investments
  • To determine the fiduciary vs. suitability standard
  • To determine how to lookup a financial advisor

Who Should Attend?

  • Business Owner
  • CEO
  • Certified Public Accountant
  • CFO/Controller
  • CPA - Large Firm
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • CPA in Business
  • Estate Planners
  • Financial Planner
  • Personal Financial Specialist (PFS)
  • Young CPA