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
- Education Provider: Pronto Tax School, Inc.
- Instructional Delivery Method: QAS Self-Study Program.
- Recommended CPE Credit: 2 hours
- NASBA Field of Study: Financial Planning
- Program Knowledge Level: Basic.
- Prerequisites: None
- Advance Preparation: None.
- Refund / Cancellation Policy: Refund available within 14 days, unless first section of course completed.
- Complaint Resolution Policy: click here to contact our support team anytime, we resolve any issues amicably and working as a teammate with our valued Members.
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.