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Live Webcast Replay

Understanding the Differences in Advisors and Their Fee Structures


Total Credits: 1 including 1 Specialized Knowledge - Technical

Average Rating:
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Category:
Partner Produced |  Industry
Faculty:
Carlos Dias
Course Levels:
Overview
Duration:
1 Hour
License:
Access for 30 day(s) after program date.

Dates


Description

According to FINRA, there are 43 types of investment licenses and 214 designations. Although financial advisors should be transparent professionals always looking out for their client's best interests at all times, several misrepresent their credentials, use phony titles, and misstate facts just to sell investment products. Some aren’t properly licensed, and others hide secrets that can be costly to your clients.

Basic Course Information

Learning Objectives
  • This webinar will help you have a better understanding on how financial advisors are compensated, and the differences between licenses, including Registered Investment Advisors (or "RIAs"), investment advisors, registered representatives, stockbrokers, and insurance agents.

Major Subjects
  • Identify the different types of licenses
  • Distinguish terms used, titles, and designations
  • Recognize compensation methods (e.g. fees, commissions, revenue sharing, bonuses, and proprietary investments)
  • Determine the fiduciary vs. suitability standard
  • How to lookup a financial advisor (e.g. background, complaints, and fines)
  • The types of forms to request in order to determine conflicts of interest
  • List of questions to ask a financial advisor

Course Materials

Faculty

Carlos Dias Related seminars and products


Carlos Dias Jr. is a financial adviser, public speaker, and president of Dias Wealth LLC in Orlando, Florida, offering strategic financial planning services to business owners, executives, retirees, and professional athletes.

Carlos is a nationally syndicated columnist for Kiplinger and has contributed, been featured, or quoted in over 100 publications, including Forbes, MarketWatch, Bloomberg, CNBC, The Wall Street Journal, U.S. News & World Report, USA Today, and several others. He's also been interviewed on various radio and television stations. Carlos is trilingual, fluent in both Portuguese and Spanish.

About Us: At Dias Wealth, our team works with clients from many backgrounds plan for a successful financial future. We provide real solutions that can help you make better financial decisions with a full range of investment management options, including tax, financial, charitable, asset protection, and estate planning services.


Dates

Thu, May 19, 2022 - 01:30pm to 02:30pm EDT

Additional Info

Basic Course Information

Prerequisites

None


Advanced Preparation

None


Designed For

CPAs, business owners, financial planners, finance directors and anyone with an interest in investing


Original Recording Date

05/05/2021


Yellow Book No
Course Developer

MICPA


Date Added to Catalog

05/05/2021


Additional Information

Complaint Resolution Policy

Please contact Anne Taylor for any complaints.  anne.taylor@acpen.com, (972-377-8199).


Official Registry Statement

Business Professionals' Network, Inc. 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


Instructional Delivery Method

Group Internet Based


Course Registration Requirements

Online Registration


Refund/Cancellation Policy

Please contact the ACPEN help desk 1-877-602-9877 or help@acpen.com if you wish to cancel your attendance for a previously purchased webcast and are requesting a refund or transfer.


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