Approved IAR CE Courses

This course familiarizes agents with the retirement planning market and the retirement planning process by covering three main areas: analyzing and identifying retirement income needs and how to address those needs, health care and health insurance options, and estate and distribution planning. Topics include needs analysis, Social Security, life insurance and annuities, investment products, qualified plans and IRAs, plans for small business owners, long-term care, and wealth distribution.

Principles of Wealth Management examines the financial planning discipline, including Its need, as evidenced by the U.S. poverty rate, the U.S. savings rate, the lack of financial retirement readiness and the ever-increasing cost of higher education. The course details the principal steps in developing a financial plan, the critical issues in managing and protecting wealth, the products and concepts available to implement wealth management objectives and their tax treatment.

The course will provide an overview of private capital investments, focusing on private equity and private credit funds. After introducing some of the exemptions issuers of private securities rely on, students will learn about the strategies used by private equity and private credit fund managers. The last section of the course will explain return measurements used by private equity managers and the strengths and weaknesses of each measurement.

This quiz will include a review of the following articles: Is Private Debt Worth Considering As An (Alternative) Asset Class In Client Portfolios?, Creating A (Just In Case) Game Plan For Clients Facing Layoffs and How Sequence-Of-Inflation Risk Impacts Retirees Beyond Just Sequences Of Returns

This course provides a practical, fiduciary-focused introduction to private markets and alternative investments tailored for investment adviser representatives (IARs) and related professionals. Participants will explore the fundamental characteristics of private equity, private credit, hedge funds, and real assets, along with key implementation considerations such as liquidity budgeting, risk management, and client suitability. The course also covers fund structures, fees, and manager due diligence, emphasizing the advisor's role in balancing access with fiduciary responsibilities. Additional modules address real-world challenges including capacity constraints, proprietary product conflicts, and regulatory expectations. Designed for professionals with limited background in alternatives, the course delivers accessible, actionable education aligned with current advisory practices.