Approved IAR CE Courses

This course provides investment adviser representatives with a practical and comprehensive understanding of Form ADV requirements under the Investment Advisers Act of 1940. Learners will explore key components of Parts 1, 2A, 2B, and Form CRS, examine recent regulatory developments, and apply lessons from real-world disclosure failures. The course emphasizes best practices in communication, documentation, and client transparency. Through case studies and application scenarios, participants will develop the skills needed to recognize red flags, support timely updates, and contribute to a culture of compliance.

There is a widespread misconception that 'estate planning' is of importance only to the wealthy. This is due, in part, to the emphasis of the financial service industry on planning for estate taxes, which only concern larger estate owners. The truth of the matter is, every person, young or old, who has a family or owns property, needs an estate plan. A good estate plan will allow a person to reach desired economic, legal, and personal objectives. Estate Planning is an educational tool to help financial advisors through the maze of programs, rules and regulations that affect many if not all their clients, their spouses, and dependents.

There is a widespread misconception that 'estate planning' is of importance only to the wealthy. This is due, in part, to the emphasis of the financial service industry on planning for estate taxes, which only concern larger estate owners. The truth of the matter is, every person, young or old, who has a family or owns property, needs an estate plan. A good estate plan will allow a person to reach desired economic, legal, and personal objectives. Estate Planning is an educational tool to help financial advisors through the maze of programs, rules and regulations that affect many if not all their clients, their spouses, and dependents. This course is also designed for financial and insurance professionals to deepen their understanding of ethical practices in the insurance industry.

Financial advisors know the importance of having estate planning documents in place to distribute family assets efficiently and effectively, reduce the risk of family conflict, and minimize the costs and delays of probate. However, when reviewing a client's estate plan, simply checking that estate planning documents are present while overlooking how the documents and other designations integrate can wreak havoc on how the plan will be executed in the future. In this webinar, David Haughton deep dives into the components of a cohesive estate plan beyond wills and trusts. Advisors will gain a deeper understanding of how titling, powers of attorney, healthcare directives, and digital asset access can either reinforce or unravel an otherwise well-designed estate plan. Through real-world examples and practitioner insights, this webinar highlights the advisor's critical role in coordinating the moving parts of a plan, ensuring clients' wishes are honored both in life and after death.

This course will provide financial advisors with a comprehensive review of estate planning strategies in both low and high interest rate environments, focusing on how fluctuating Applicable Federal Rates (AFR) and Section 7520 rates shape planning opportunities. Specifically, the course will examine the advantages and limitations of techniques such as Grantor Retained Annuity Trusts (GRATs), sales to Intentionally Defective Grantor Trusts (IDGTs), Charitable Lead Annuity Trusts (CLATs), Qualified Personal Residence Trusts (QPRTs), and Charitable Remainder Trusts (CRTs). Advisors will learn how interest rate assumptions impact valuation, freeze and arbitrage strategies, and charitable deductions. The course will also address planning flexibility in mixed or changing rate environments, including loan refinancing, grantor trust powers, and strategy reviews. Through case studies and practical insights, attendees will gain the knowledge needed to guide clients in adapting estate planning techniques to evolving economic conditions and achieving optimal wealth transfer outcomes.

This session focuses on delivering high-impact estate planning strategies for clients with $2–$5 million in net worth, emphasizing practical solutions that balance tax efficiency, control, and cost. Advisors will learn how to avoid both under-planning and unnecessary complexity while addressing key risks related to taxes, business ownership, and trust funding.

This session examines how advisors can effectively plan for the control, access, and transfer of both digital assets and real estate within modern portfolios. It provides practical strategies for overcoming access challenges, optimizing trust structures, and coordinating ownership to enhance protection, efficiency, and long-term planning outcomes.

This session focuses on ensuring estate plans remain effective over time by addressing real-world challenges such as family dynamics, beneficiary readiness, and administrative complexity. Advisors will learn how to incorporate strong governance, thoughtful trustee selection, and flexible planning tools to create plans that adapt and function in practice—not just on paper.