A financial advisor should be a trusted individual who has complete transparency and who looks out for their client's best interests at all times. That said, many in this field are known for misrepresenting their credentials, using phony titles, or misstating facts to sell products. There's even a chance the person is not licensed, or, at best, barely qualified to give accurate advice. There are even some secrets that a financial advisor may not want you to be aware of, which can be costly to your clients in the long run.

With so much confusing terminology, such as registered investment advisors (RIAs), investment advisors, registered representatives, stockbrokers, and insurance agents, this webinar aims to teach the difference between all the different types of financial advisors and how they are compensated.

 Learning Objectives:

• Identify the different types of licenses


• Identify terms, titles, and designations


• Define compensation structures such as fees, commissions, revenue sharing, and proprietary investments


• Determine the fiduciary versus suitability standard


• Determine how to look up a financial advisor


• List questions to ask a financial advisor

NASBA Approved

CPAacademy.org (Sponsor Id#: 111889) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State 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.

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