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  • Journal in the Round: Lessons in Shifting Clients' Panic to Confidence

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 08/26/2020 at 12:00 PM (MDT)

    Explore and discover how to apply the behavioral interventions outlined in the Journal of Financial Planning (JFP) cover story and discuss the importance of understanding clients’ behaviors and biases in investment planning to optimize clients’ well-being and financial results.

    Join August’s Journal of Financial Planning (JFP) contributor Nick Follett, manager, fixed income at Commonwealth, and behavioral finance experts as they explore the behavioral interventions outlined in the JFP cover story and how to apply these interventions. They’ll also discuss the importance of understanding clients’ behaviors and biases in investment planning to optimize clients’ well-being and financial results. This online, interactive roundtable conversation will be moderated by Kieran Rooney, CFP®, Journal in the Round moderator and FPA member.

    • Outline various behavioral finance interventions they can take to nudge clients toward better outcomes
    • Illustrate how clients’ life stages and responsibilities may shape their concerns related to COVID-19 pandemic

    Nick Follett

    Manager, Fixed Income, Commonwealth Financial Network®, Member FINRA/SIPC

    With the firm since 2010, Nick Follett evaluates and selects strategies for Commonwealth’s recommended lists and shares analysis and research across all fixed income asset classes. He also assists affiliated advisers with portfolio construction, fixed income sector allocation and portfolio reviews. Follett graduated from San Francisco State University’s MBA program with an emphasis in finance, and he holds the FINRA Series 7 securities registration.

    Kieran Elizabeth Rooney, CFP®, EA

    Director of Standards & Certification, FPSB

    As Director of Standards & Certification at FPSB, Kieran Rooney, CFP®, is responsible for executing FPSB’s strategies for standards for the global profession and requirements for FPSB’s pathway and CFP certifications. Before FPSB, Rooney was a financial adviser with Boston-based Modera Wealth Management, delivering fee-only advice and tax, investment and insurance strategies to high-net-worth clients. A CFP professional and Enrolled Agent with the U.S. Internal Revenue Service, Rooney co-hosts the Financial Planning Association’s Cross-Border Knowledge Circle and moderates its Journal in the Round program. Previously, she worked for the United Nations, where she managed course creation, piloting, administration and standard-setting to ensure alignment of courses delivered in five languages to 14,000 end users in 100+ countries. 

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  • Financial Services Review CE Exam: Vol. 28 No. 3

    Product not yet rated Contains 2 Component(s), Includes Credits

    Self-study exam based on the Financial Services Review, Vol. 28 No. 3 Issue

    Self-study exam based on a thorough understanding of articles on the specific topics of: economic concepts; client and planner attitudes, values, biases and behavioral finance; principles of communication and counseling; and the financial planning process.

    • List the computations of the present values of future average earnings streams for individuals of various education levels from several different occupations
    • Demonstrate how an individual can perform a simple NPV-like analysis when in the process of career planning
    • Outline the relationship between financial literacy, behavior and attitude, and retirement savings decisions
    • Explain why interventions should focus on the specific behaviors which drive retirement planning, rather than financial literacy in isolation

  • Journal of Financial Planning CE Exam: August 2020

    Product not yet rated Contains 2 Component(s), Includes Credits

    Self-study exam based on the Journal of Financial Planning, August 2020 Issue

    Self-study exam based on a thorough understanding of articles on the specific topics of: the financial planning process; client and planner attitudes, values, biases and behavioral finance; and principles of communication and counseling.

    • Outline various behavioral finance interventions they can take to nudge clients toward better outcomes
    • Illustrate how clients’ life stages and responsibilities may shape their concerns related to COVID-19 pandemic
    • Explain how personal characteristics play a key role in shaping female investors’ decisions regarding hiring financial planning professionals
    • Identify how to help affluent female clients maximize their financial satisfaction over the long term
  • Journal in the Round: Navigating Planners and Their Clients Towards Resiliency During the Coronacrash

    Product not yet rated Contains 4 Component(s), Includes Credits

    ​When clients act on unaddressed fear during a bear market, it can lead to poor decisions and damaging effects on their future.

    When clients act on unaddressed fear during a bear market, it can lead to poor decisions and damaging effects on their future. Join the June 2020 Journal of Financial Planning contributor Dan Moisand, CFP®, and Devin Velnoskey as they expand on Moisand’s article where he explains ways in which practicing financial planning can hinder its value, and how to address these challenges while helping build planners’ and their clients’ resiliency. They’ll also delve into the findings from FPA’s annual Trends in Investing Survey, discussing portfolio analysis in a time of crisis. This online, interactive roundtable conversation will be moderated by volunteer FPA moderator Ray Benton, CFP®.

    • Analyze a client’s degree of risk and loss aversion and insure recommendations are consistent with a client’s risk propensity, attitudes, capacity, knowledge, and needs
    • Develop how a planner can develop a relationship of honesty and trust in client interaction
    • Recommend an asset allocation strategy consistent with a client’s risk tolerance

    Dan Moisand, CFP®

    Principal, Moisand Fitzgerald Tomayo, LLC

    Dan Moisand, CFP, is principal and financial planner of Moisand Fitzgerald Tamayo LLC in Melbourne, Fla. He currently serves as the Journal of Financial Planning’s practitioner editor.

    Devon Velnosky

    Senior Portfolio Strategist, Janus Henderson Investors

    Devin P. Velnoskey is a Senior Portfolio Strategist with Janus Henderson Investors. He is a member of the Portfolio Construction and Strategy Team focused on delivering actionable investment strategy and thought leadership to help clients in all aspects of the investment management process. Previously, Mr. Velnoskey was a senior member of the internal sales team within the intermediary distribution channel at Janus. Prior to joining Janus, he worked at Morgan Stanley, where he covered listed derivatives markets for the company’s asset management and hedge fund clients.

    Mr. Velnoskey received a bachelor of arts degree in economics from Fordham University and an MBA with concentrations in finance and accounting from Regis University. He holds FINRA Series 7 and 63 securities licenses and has 10 years of financial industry experience.

    Raymond Benton, CFP®, CRPC, EA

    Benton & Company

    A. Raymond Benton is a CERTIFIED FINANCIAL PLANNER professional and member of FPA, serving clients at Benton & Company in Denver, Colo. and the surrounding communities.

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  • Charitable Giving: Good for Your Practice, Good for the World

    Product not yet rated Contains 4 Component(s), Includes Credits

    ​Philanthropy is more than responding to individual solicitations with one-time gifts. It is strategic, built for long-term impact, and aligned to a purposeful mission.

    Philanthropy is more than responding to individual solicitations with one-time gifts. It is strategic, built for long-term impact, and aligned to a purposeful mission. One way to differentiate yourself as an adviser today is to address your clients’ needs beyond saving and investing to their charitable giving, especially in this uncertain environment when demand for donations may be higher. By attending this webinar, you’ll learn the importance of engaging your clients in a conversation about charitable giving and help them be more thoughtful with their giving strategy. You’ll also receive an interactive toolkit filled with resources, best practices, guided questions, and reflective activities that will help you and your clients along every step of their charitable journey. 

    • Understand philanthropy’s place in an effective tax strategy
    • Prepare advisers for values-based conversations with their clients
    • Learn to strengthen advisers clients’ giving plan by unlocking charitable assets

    Michael DiJoseph, CFA

    Senior Advice Strategist, Financial Advisor Services, Vanguard

    Michael A. DiJoseph, CFA, is a senior advice strategist in Vanguard Financial Advisor Services. He is responsible for bringing Vanguard’s thought leadership and methodology to life through technology, service offers, and innovative content. He also regularly acts as an ambassador for Vanguard, speaking at industry conferences, client meetings, and other media engagements including webcasts and podcasts on a range of investment and advice topics. Previously, he was an investment strategist in Vanguard Investment Strategy Group, where he published more than 25 research papers and articles, primarily focusing on Advisor’s Alpha, retirement income, investor behavior, and portfolio strategy. DiJoseph spent his first few years at Vanguard in a variety of fixed-income roles. Prior to joining Vanguard, he worked in the advice industry as an investment adviser.

    Greg Murray

    National Sales Executive, Vanguard Charitable

    Murray joined Vanguard Charitable in 2017 as National Sales Executive. He works closely with financial advisers to help support their clients’ charitable intentions through a holistic wealth management approach. Previously, Murray worked for Hartford Mutual Funds, RS Investments, and O’Shares Investments. He holds a bachelor’s degree in business marketing from Albright College.

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  • The Succession Challenge: Why Advisers are Failing to Plan for the Inevitable

    Product not yet rated Contains 3 Component(s)

    Join in this interactive, unique discussion that will empower you to jump-start the planning process, providing solid guidelines for identifying potential successors and for developing a goal oriented plan towards a easier transition to whatever comes next.

    The FPA and Janus Henderson research shows that when it comes to succession planning, many financial planners are stuck. In fact, 51% reported that finding the right successor to their business is their top reason for hesitating to create a succession plan. Join in this interactive, unique discussion that will empower you to jump-start the planning process, providing  solid guidelines for identifying potential successors and for developing a goal oriented plan towards a easier transition to whatever comes next.

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  • Journal of Financial Planning CE Exam: July 2020

    Contains 2 Component(s), Includes Credits

    Self-study exam based on the Journal of Financial Planning, July 2020 Issue

    Self-study exam based on a thorough understanding of articles on the specific topics of: the financial planning process; client and planner attitudes, values, biases and behavioral finance; and principles of communication and counseling.

    • Define the legal issues that clients must face as they age 
    • Explain a client communication method for sharing the comprehensive information related to legacy planning with the next generation 
    • Compare the contrast the expectations of value the investors have with financial adviser with what adviser believe are those expectations 
    • Identify the adviser attributes that investors ranked as the most and least valuable service an adviser provides

  • The Seven Steps to Protect Yourself, Your Practice, and Your Clients Who have Diminished Mental Capacity

    Product not yet rated Contains 4 Component(s), Includes Credits

    What do you do when you discover that one of your clients has a diminished mental capacity?

    What do you do when you discover that one of your clients has a diminished mental capacity? According to the Alzheimers Association, Alzheimers disease will strike more than 8 million Americans by 2030 ( a rise of 60% from 2010). If you don't know what steps to take to protect your client and your practice, both may be at risk. In this workshop you will learn the best practices to follow when one of your clients has a loss of memory. You will develop a protocol to use with every client you suspect may have diminished mental capacity. You will learn the skills to develop a relationship with the clients entire family and become their trusted adviser for future generations. Remember it is not a question of if you will have to work with a client who has diminished mental capacity but when. Prepare yourself now to protect your client, yourself and your practice.

    • Describe the best practices to deal with a client who may have diminished mental capacity
    • Develop a standardized protocol for your firm to address situations where clients have exhibited diminished mental capacity
    • Create a relationship with the clients entire family using a very powerful tool, the family meeting

    Robert B. Mauterstock, Jr., CFP®, CLU®, CLTC®

    Partner and Co-Founder, Plan4LifeNow

    Robert B. Mauterstock Jr., CFP®, CLU®, ChFC®, CLTC®, is partner and co-founder of Plan4Life LLC, the creator of The Elder Planning Specialist program, an extensive curriculum for financial planning professionals. He is a former Navy pilot and has written four books related to boomers, their aging parents, and their adult children. He was a practicing financial planner for more than 30 years.

  • Putting Value on Your Value: Quantifying Benefits of Portfolio Construction, Wealth Management, and Behavioral Coaching Services

    Product not yet rated Contains 4 Component(s), Includes Credits

    Using Vanguard's Advisor's Alpha research, this presentation focuses on helping financial planners quantify the ways to add value for clients through relationship-oriented services that can go beyond market out performance.

    Using Vanguard's Advisor's Alpha research, this presentation focuses on helping financial planners quantify the ways to add value for clients through relationship-oriented services that can go beyond market out performance. While this has proven elusive for most investors, the study demonstrates how relationship-oriented value can add about three percent in net returns, depending on a client's circumstances, while also improving client retention. 

    • Quantify the relationship-oriented wealth management services outlined in Vanguard's Advisor's Alpha concept
    • Summarize the benefits to planners, including better alignment with client needs and improved client retention
    • Review the more reliable benefits of your client relationships beyond outperformance, which has proved elusive for most investors

    Donald G. Bennyhoff

    Senior Investment Strategist, Vanguard Investment Strategy Group

    Donald G. Bennyhoff is a senior investment strategist for Vanguard Investment Strategy Group. He is a member of the group responsible for capital markets research and the asset allocations used in Vanguard's fund-of-fund solutions, such as the Target Retirement Funds. The group is also responsible for maintaining and enhancing the investment methodology used for advice-based relationships with high-net-worth and institutional clients. In addition, Mr. Bennyhoff has authored a number of research papers on topics of concern for institutional and ultra high-net-worth audiences. He earned a bachelor's degree from Furman University, has been in the financial services industry since 1991, and is a CFA charterholder.

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  • You Are the Value: Rethinking and Articulating the Value Proposition Beyond Returns

    Contains 4 Component(s), Includes Credits

    Join Paul Bosse, CFA, principal in Vanguard Investment Strategy Group, to learn how you can add value or alpha using the Vanguard's Advisor's Alpha concept.

    Join Paul Bosse, CFA, principal in Vanguard Investment Strategy Group, to learn how you can add value or alpha using the Vanguard's Advisor's Alpha concept. Learn how to apply relationship-oriented services such as cogent wealth management via financial planning, behavioral coaching, and guidance as a primary objective of your value proposition.

    • Demonstrate how tax efficiency can help minimize portfolio costs
    • Examine the value you can provide to portfolios by coaching clients to avoid performance-chasing behavior
    • Understand how a well-thought-out strategy can serve as an important emotional anchor for clients during periods of panic or greed in the markets

    Paul Bosse, CFA

    Principal, Vanguard Investment Strategy Group

    Paul Bosse, CFA, is a principal in Vanguard Investment Strategy Group. He works with institutional clients, consulting on asset allocation and portfolio construction issues. Before joining Vanguard, Mr. Bosse was director of asset allocation and chairman of the investment committee at DuPont Capital Management. While at DuPont, he designed the strategic asset allocation for the pension trust fund and managed the global tactical asset allocation portfolio. He also had investment oversight for several international pension plans and the employee defined contribution plan. Previous Dupont responsibilities included developing quantitative equity strategies and managing a small-cap fund. 

    Mr. Bosse is a former member of the investment committee for the University of Delaware endowment and is a CFA® charterholder. He earned a bachelor’s degree from the University of Virginia and an M.B.A. fro

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