Approved IAR CE Courses

This session explores how AI is transforming financial planning and what that means for the role of the advisor. Attendees will gain clarity on which aspects of planning are being automated such as analysis, modeling, and administrative tasks and where human expertise becomes even more valuable, including judgment, client communication, and behavioral coaching.

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This course, based on the I Too Invest podcast episode Opportunities Abound in Protecting Marginalized Communities: Building Capacity, explores systemic barriers to financial access through the lived experiences of DEI consultant Theaston White. Learners will gain insight into how bias, leadership, and institutional practices impact marginalized communities. The course emphasizes inclusive client interactions, authentic leadership, and strategies for building generational wealth. It is designed for professionals in regulatory and financial sectors seeking to advance equity and inclusion in their work

This comprehensive course equips investment advisers with essential knowledge on key compliance requirements, including Form ADV disclosures, advisory contracts, communication standards, recordkeeping obligations, and supervision practices. Participants will learn current regulations, industry standards, and best practices necessary for maintaining effective compliance programs. The course provides practical guidance to help registered investment advisers (RIAs) meet their regulatory obligations and operate within regulatory frameworks.

IAR CE Ethics & Professional Responsibility provides investment adviser representatives with a comprehensive, ethics-centered framework for upholding their fiduciary obligations. The course explores ethical decision-making models, communication principles, conflict-management standards, and the ethical application of regulatory requirements. Through real-world case studies and enforcement actions, participants learn to recognize risks, avoid common ethical failures, and strengthen professional judgment. The program emphasizes practical application, documentation standards, and ethical reasoning in complex advisory scenarios.

This course provides investment adviser representatives with a comprehensive understanding of the products, practices, and regulatory expectations that shape todays advisory landscape. Participants will explore a wide range of investment productsincluding equities, fixed income, alternative investments, annuities, and portfolio management toolswhile gaining insight into how these products align with client goals, risk profiles, and market conditions.The program also examines core advisory practices such as client onboarding, suitability analysis, disclosure obligations, portfolio construction, and ongoing monitoring. Real-world examples and case scenarios help reinforce practical application. By the end of the course, participants will be equipped to make informed product recommendations, enhance client communication, and operate with a higher degree of professional competence in their day-to-day advisory work.

IAR CE - Ethics & Professional Responsibility provides investment adviser representatives with a comprehensive, ethics-centered framework for upholding their fiduciary obligations. The course explores ethical decision-making models, communication principles, conflict-management standards, and the ethical application of regulatory requirements. Through real-world case studies and enforcement actions, participants learn to recognize risks, avoid common ethical failures, and strengthen professional judgment. The program emphasizes practical application, documentation standards, and ethical reasoning in complex advisory scenarios.

This course provides investment adviser representatives with a comprehensive understanding of the products, practices, and regulatory expectations that shape todays advisory landscape. Participants will explore a wide range of investment products'including equities, fixed income, alternative investments, annuities, and portfolio management tools'while gaining insight into how these products align with client goals, risk profiles, and market conditions.The program also examines core advisory practices such as client onboarding, suitability analysis, disclosure obligations, portfolio construction, and ongoing monitoring. Real-world examples and case scenarios help reinforce practical application. By the end of the course, participants will be equipped to make informed product recommendations, enhance client communication, and operate with a higher degree of professional competence in their day-to-day advisory work.

This course will cover the importance of retirement planning as a fiduciary duty. Topics to be covered will include; retirement plans, life insurance, trusts, Social Security and Medicare. The importance of planning for taxes in retirement will also be covered.