Approved IAR CE Courses

Bonds are a common part of a client's investment portfolio. However, common does not mean uncomplicated. The bond type, method of purchase, and circumstances by which it is sold can all impact how a bond's basis is adjusted, the tax that will be applied, and the applicable forms for tax reporting. In this webinar, Tim Steffen, CPA/PFS, CFP', CPWA' demystifies taxation rules on bonds that can be easily overlooked, such as the tax treatment on Original Issue Discount (OID) bonds, market discount, and premium on bonds. For each unique bond scenario, Tim explains options for how applicable taxes on bonds can be reported and walks through how to review the forms used for tax reporting. Tim concludes this webinar with a review of savings bonds that are particularly popular in a high-interest rate environment and highlights the difference between how individual bonds and bond funds are taxed.

In this continuing education session, the learner will read three articles from the Nerd's Eye View blog.In 'Designing 'Custom GPTs' With Advanced ChatGPT Features To Enhance Advisor Capabilities With AI', David Ortiz walks readers through how he uses CustomGPTs to create efficiency in his practice through prompt engineering. Ortiz explains how AI tools can be utilized in conjunction with client meetings to enhance client engagement. In ''Legacy IRA' Rollover To A Charitable Gift Annuity: Using This New Tax-Advantaged Opportunity To Help', Kathleen Rehl shares her experience creating her "Legacy IRA" rollover to a Charitable Gift Annuity to support her chosen nonprofits after Congress passed the SECURE 2.0 legislation, highlighting the potential benefits of creating a legacy IRA. In 'In The Long Run, Stocks Outperform Bonds' Or Do They?', Larry Swedroe explains recent studies on the performance of stocks and bonds and how these studies may alter the advisor's understanding of long-term stock and bond performance and of using bonds as portfolio diversifiers.

This session examines how financial advisors can incorporate a life-first perspective into the financial planning process. Drawing on behavioral science and life planning principles, the presentation explores how client decisions are shaped by competing priorities, inherited expectations, and personal values. Participants will learn a practical framework for facilitating deeper client conversations that clarify what matters most and align financial strategies with meaningful life goals. The session emphasizes how advisors can move beyond purely technical optimization to help clients make financial decisions that support purposeful and intentional living.

Elder financial abuse doesn’t usually start with bad intentions. It often begins with someone trying to help. In this presentation, we walk through a real-world scenario where caregiving gradually turns into unmonitored financial control. We’ll highlight the key red flags across family dynamics, financial changes, and cognitive shifts that professionals often miss. Most importantly, we’ll give you practical ways to detect early warning signs, prevent risk, and protect both your clients and yourself. Because in this space, awareness is everything—and every professional plays a role in safeguarding seniors.

This course will present many of the current scams which bombard seniors, in the hopes that recognition and education will strengthen the walls which must be built around them. The course will cover this topic from possibilities to real-life examples of fraud and deception with a detailed discussion of topics such as guardianship as an abuse avenue. It will also look at what industry rules and regulations demand from each registered individual via the Senior Safe Act, FINRA Rule 2165 and amendments to Rule 4512. This course will endeavor to add another layer of protection for those who need it most; our seniors.

This course examines how to develop a system of professional ethics. The course begins by discussing how being a 'professional' - can bring greater respect and compensation, but with this designation also comes a higher standard of conduct. The course covers the the core principles of professional ethics, including honesty, fairness, and competence, as it applies to an IAR's job. Honesty must be used in communications about the IAR's credentials and business. Fairness is shown to be important in matters of disclosure, fees, confidentiality, and loyalty. Competence must underly a professional's credentials. The importance of using ethical principles when creating brochures, direct mailings, and business cards is also discussed. The course also goes over strategies for how how prospects can be ethically converted into clients. Finally, the course concludes with a discussion of the SEC's Form CRS (Customer/Client Relationship Summary) andthe 'conversation starters' that the SEC requires financial professionals to use to prompt pragmatic discussions between advisers and clients.

This comprehensive course equips investment advisory professionals with the knowledge and tools to develop and implement a robust Code of Ethics. It covers ethical decision-making, core principles, and practical strategies to foster an ethical culture and ensure compliance within their organizations.Course Description:Unlock the potential to transform your investment advisory practice with our in-depth course on "Developing and Implementing a Code of Ethics." This program is meticulously designed for investment professionals seeking to elevate their firm's ethical standards and foster a culture of integrity. Over the span of the course, you will gain comprehensive knowledge on crafting a robust Code of Ethics aligned with your organization's values and mission. Dive deep into ethical decision-making models, explore core principles such as integrity, objectivity, and confidentiality, and learn effective strategies for communicating and enforcing ethical standards internally.By engaging with practical modules that cover stakeholder involvement, customization of ethical codes, and the implementation of compliance systems, you'll acquire the tools to navigate complex ethical dilemmas confidently. The course also emphasizes the importance of training programs, monitoring mechanisms, and leadership's role in setting the ethical tone. Upon completion, you will be equipped to lead initiatives that not only ensure compliance with regulatory requirements but also enhance client trust and contribute to the long-term success and reputation of your firm in the competitive investment advisory industry.

This course is intended for investment adviser representatives, and provides an overview of the Wisconsin Division of Securities Administrative Code section 5.06 "Prohibited Conduct." Section 5.06 addresses dishonest or unethical business practices of investment advisers in Wisconsin, and contains 25 subsections. This course will review in detail each of these subsections, explain their purpose, and give examples of past enforcement actions taken by the Division against investment advisers who violated the rule.

As AI takes on more of the technical work in financial advising, the defining advantage shifts to advisors who can do what technology cannot: act as a guide. While the "mechanic" role, such as managing investments, insurance, and accounting, is increasingly augmented by AI, the human tasks of navigating uncertainty, managing change, and connecting emotionally with clients are becoming true differentiators.

This session explores the cognitive and emotional dimensions of financial decision-making and how advisors can recognize and respond to each in client interactions. We'll examine how to become more "empathetic," what a multi-dimensional definition of empathy reveals about the limits of technology, and how the emotional intelligence advisors bring to every client relationship. Advisors who understand how technology impacts their own EQ and lean into core human capabilities like storytelling and change management, will be best positioned to deliver guidance that is irreplaceably human.