Continuing Education Courses For
Busy Financial Professionals 

Choose the course(s) that will benefit you and your practice most and earn up to 6 CEU total hours credit for taking these courses.

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Best Practices For Managing Clients With Dimished Capacity

Our population is living longer than ever. The risk of dementia rises with age. That means that most financial professionals are going to encounter problems of aging in their clients.
You need to learn to recognize the red flags of impairment that will affect financial capacity.  These include:

- Cognitive signs, such as memory loss and difficulty understanding the conversation
- Communication, calculations and orientation problems
- Emotional signs that are out of character for your client.

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You Can Prevent Financial Elder Abuse

Financial abuse of elders has often been called the crime of the century. A recent study found that it costs seniors over $36 billion per year in the United States. Every hand is needed to prevent and stop this crime of opportunity, including the help of financial professionals like you. In this course, we examine the nine domains of financial capacity and describe the seven warning signs that your client may be a victim of financial abuse. We suggest ways that a senior-specific policy can offer advisors a clear path to follow when client conduct puts you on notice of a diminished capacity problem. We showcase “hero stories” of financial professionals who took action and did stop abuse.

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Regulatory Changes Advisors Must Face With Your Aging Clients

Update your knowlege on what the SEC, FINRA an NASAA have in mind for financial professionals across the country in how they do business with clients over age 65. We'll review the research these agencies have done, model rules regulators have created, and what exemplary things they found firms and organizations doing for aging clients. All regulatory organizations want financial professionals to be more protective of their aging investor clients. They envision mandates for reporting financial abuse of elders will and expand mandates into other areas. This course highlights areas regulators expect advisors to address, such as training in senior issues and  increased communication with aging clients. You will be provided with specifics on how to get ready for what the regulators want so that you will not have to scramble to comply with mandates. 

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Best Practices for Communication Challenges With Senior Investors

Aging clients present many challenges for their financial advisors. There are physical changes in hearing, vision, and mobility as well as memory issues. This course will arm you, the advisor, with learnings on how to accommodate for the changes that normally accompany aging to best serve older clients. It also offers strategies to address changes that are not normal, such as cognitive decline and loss of capacity for financial decision making. Talking to clients about these topics is likely to be uncomfortable. With the expertise of the psychologist who helped author this course, conversation scripts are offered on how to bring up and talk about delicate subjects tactfully. We illustrate advisor-client dialog with videos and demonstrate the best ways to talk to a client about giving up decision-making authority when impairment sets in.

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How To Improve Intergenerational Wealth Transfer

It’s pretty well known that intergenerational wealth transfers fail about 70% of the time. What makes the other 30% successful? In this course you will learn how you can help your client be part of one of the success stories by understanding the critical aspects like communication techniques which increase the likelihood of a successful wealth transfer.  Communication skills are a highly important part of this course. Who better to advise you than an experienced psychologist who has worked with families and mediated conflict for over 40 years?  Dr. Davis offers helpful information that will ease your way along the process and give you confidence in creating a path to a wealth transfer that works well.

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 Best Practices For Success With Family Meetings 

Builds on skills offered in the "Improving Intergenerational Wealth Transfers" course, adding an in-depth exploration of family conflicts and explanation of obstacles an advisor is likely to encounter in meeting with clients' families.  We will suggest how to spot danger signs that should prompt an advisor to seek help from outside experts to manage family meetings.  The course discusses the legal implications of using both outside experts and a client's own experts to help prepare heirs for managing inherited wealth. Because we know that not everyone in every family gets along well, you will learn how the use of professionals skilled in the art of conflict management can help families reach agreements with each other on wealth management issues. This is important whether or not they have had historical issues with internal communication. This course helps advisors to not be overwhelmed by difficult client families.

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