Tax Pros Becoming Investment Advisors?
Can Tax Pros Add Financial Planning and Investment Management Services to Your Tax Business Without Doing Way More Work, While Also Minimizing Risk?
How Can I Avoid Getting in Trouble with SEC and Other Regulatory Agencies When Dispensing Financial Advice to Tax Clients?
What Financial Planning Credential Is the Best and Easiest to Get, and Which Test Would I Need to Pass to Get the Credential?
What Less Work, Less Risk Options Exist for Adding Financial Services to My Tax Business?
Recognize the limitations of the CPA exclusion with regard to personal financial planning (PFP) and when registration as an Investment Advisor Representative (IAR) may be required by the SEC
Define the role of a fiduciary and explain the significance of the Investment Advisors Act of 1940 and Regulation Best Interest (Reg BI)
Identify opportunities to add appropriate financial planning services to your current client offerings
Edward Mahaffy, MBA, CFP®, ChFC®
ClientFirst Wealth Management, LLC
Pronto Tax School, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of Continuing Professional Education (CPE) on the National Registry of CPE Sponsors. Boards of Accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.