Understanding the Differences in Advisors and Their Fee Structures

You Pay: $59.00
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This course is 1.00 credits
Field of Study
Specialized Knowledge
Course Level
Overview
Vendor
BPN, Inc ACPEN

Registration Fees

MassCPAs-AICPA Member
$39.00
MassCPAs Member
$39.00
AICPA Member
$59.00
Non-Member
$59.00
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Thursday, May 19, 2022
1:30pm – 2:30pm

According to FINRA, there are 43 types of investment licenses and 214 designations. Although financial advisors should be transparent professionals always looking out for their client's best interests at all times, several misrepresent their credentials, use phony titles, and misstate facts just to sell investment products. Some aren’t properly licensed, and others hide secrets that can be costly to your clients.

According to FINRA, there are 43 types of investment licenses and 214 designations. Although financial advisors should be transparent professionals always looking out for their client's best interests at all times, several misrepresent their credentials, use phony titles, and misstate facts just to sell investment products. Some aren’t properly licensed, and others hide secrets that can be costly to your clients.

Designed For

CPAs, business owners, financial planners, finance directors and anyone with an interest in investing

Course Objectives

  • This webinar will help you have a better understanding on how financial advisors are compensated, and the differences between licenses, including Registered Investment Advisors (or "RIAs"), investment advisors, registered representatives, stockbrokers, and insurance agents.

Major Subjects

  • Identify the different types of licenses
  • Distinguish terms used, titles, and designations
  • Recognize compensation methods (e.g. fees, commissions, revenue sharing, bonuses, and proprietary investments)
  • Determine the fiduciary vs. suitability standard
  • How to lookup a financial advisor (e.g. background, complaints, and fines)
  • The types of forms to request in order to determine conflicts of interest
  • List of questions to ask a financial advisor

Prerequisites

None

Registrants

+ $59.00

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