The Mindset Method Part 2 is a series of best practices dedicated to working with new clients and it will outline the sequential steps of bringing on a new client (reinforced with a rigorous New Client Checklist) as well as, ensure the advisors are attracting the right types of clients. It fully emphasizes and integrates full financial discovery and delivery of comprehensive financial planning - ensuring all aspects of their professional and fiduciary duties are met. The latter half of the best practices are dedicated to working with the advisors existing high value clients and outlining the sequential steps of re-branding to create strong brand loyalty. In addition, it is a methodical approach to ensuring all aspects of discovery and financial planning have been provided to these clients - again ensuring all professional and fiduciary responsibilities are being met. This is often an overlooked group - one that offers great potential! These clients not only need to be competitor-proofed but are poised to become advocates of the advisor and their team. This program is offered via On Demand (Self Study) or via One-to-One Coaching biweekly in virtual meetings.
The Mortgage & Credit Score Playbook: Dual Approach to Unlocking Wealth at Every Stage of Life
When it comes to homeownership and financing, mortgage planning and credit score management go hand in hand. A strong credit profile leads to better mortgage rates, lower borrowing costs, and increased financial flexibility. As a financial advisor, understanding how to guide clients in both mortgage planning and credit score optimization is essential for helping them secure better financing, manage debt strategically, and maximize long-term wealth.In this program, our experts will break down mortgage strategies and credit optimization techniques into separate, focused discussions, giving advisors the tools to guide clients through both areas effectively. Advisors will learn how to help clients improve credit scores before applying for a mortgage, manage mortgage debt at different life stages, and leverage home equity in retirement.
Many families have saved money for college, but most haven't saved enough money to cash flow college. Even well-prepared families often lack a clear strategy for how to use their education savings. This session will examine the ROI for a bachelor's degree, the purpose of the FAFSA (and why most families should complete it), the current gifting landscape, and strategies for using student loans effectively.
Thee Advisors Guide to Annuities and Ethical Practices
This course has been developed to give financial and insurance professionals a complete guide to understanding annuities, annuity tax laws and contract structure
Thee Advisors Guide to Annuities and Ethical Practices - Ethics
This course has been developed to give financial and insurance professionals a complete guide to understanding annuities, annuity tax laws and contract structure, and their suitability ethicalmarketing practices and Senior Fraud
This course provides an overview of the procedures and objectives of a Wisconsin Division of Securities examination of a state-registered investment adviser. It also reviews common deficiencies found by the Division and how advisers can take steps to prevent them.
This course guides Investment Adviser Representatives (IARs) through trading-compliance requirements under the Advisers Act. You'll learn how fiduciary duties of loyalty and care drive best execution - balancing cost, speed, and research quality - and monitoring trade allocations to ensure fairness. The curriculum covers Rule 204A-1 personal-trading controls, including access-person reporting and pre-approval workflows, as well as principal and cross-trades. In the final module, you'll explore Section 28(e) soft-dollar rules and Rule 204-2 recordkeeping to maintain a comprehensive audit trail. Enforcement case studies and 2025 exam priorities underscore the importance of rigorous documentation to protect client interests.
This self-study course provides a comprehensive exploration of ethical considerations in investment adviser fee structures and compensation models. It emphasizes the principles of transparency, fairness, and fiduciary duty in disclosing compensation practices to clients. The course examines common fee structures, conflicts of interest arising from revenue sharing and 12b-1 fees, and outlines best practices for clear and complete disclosures. Through case studies, regulatory guidance, and ethical frameworks, participants will strengthen their ability to align compensation models with fiduciary obligations and client trust.