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  • Vanguard's ESG ETFs: Helping Clients Make an Impact

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 11/10/2020 at 12:00 PM (MST)

    The year 2020 has made us more aware of the impact our choices have on others and the world at large, and has helped drive a new wave of investors in ESG as an investment category.

    The year 2020 has made us more aware of the impact our choices have on others and the world at large, and has helped drive a new wave of investors in ESG as an investment category. Environmental, social, and governance—or ESG—refers to socially responsible factors that investors use to evaluate investments based on the issues that matter most to them. Investors tend to initially apply ESG screening to their equity allocation. But ESG applies to fixed income as much as equity. Experts at Vanguard will share how Vanguard thinks it can help advisers plan for a total ESG portfolio. Join Vanguard’s investment strategist Doug Grimm, and head of ETF product management Rich Powers as they dive into the world of ESG investing and introduce Vanguard’s newest ESG product, Vanguard ESG U.S. Corporate Bond ETF, to the lineup. 

    • Define ESG investing
    • Outline the four-step process for prudent ESG decision-making and screening process for ESG funds
    • Explain ESG’s role in clients’ portfolios and how to guide investors who are considering ESG funds
    • Illustrate the ESG fund approach, and how clients can examine and compare different ESG funds, including Vanguard’s ESG product lineup

    Richard Powers

    Fund and ETF Product Management Category Head Planning and Development, Vanguard

    Richard F. Powers is the head of ETF Product Management at Vanguard. His team is responsible for meeting with clients and prospects to discuss Vanguard’s ETF® lineup, conducting surveillance of competitor products, publishing on noteworthy developments in the ETF marketplace and Vanguard lineup, and enhancing Vanguard’s ETF lineup via changes to existing products or launching new products. He joined the firm in 1999, and before his current role, Powers was a senior member of the oversight and manager search team, which is responsible for identifying sub-advisory partners for Vanguard’s active fund lineup and monitoring the firm, people, process, portfolio, and performance of all existing Vanguard funds on behalf of Vanguard’s Global Investment Committee and board of directors.

    Douglas Grim, CFA

    Senior Investment Strategist Investment Management Group, Vanguard

    Doug Grim, CFA, is a senior investment strategist in Vanguard nvestment Strategy Group, where he leads the team that conducts research and provides thought leadership on environmental, social, and governance (ESG) issues in investing and factor-based portfolio construction. Previously, Grim was a senior investment consultant in Vanguard Institutional Advisory Services®. In that position, he provided asset allocation and portfolio construction recommendations, investment policy consulting, and capital markets research to institutional clients. He also served as team leader responsible for assisting other consultants with all asset allocation and asset/liability modeling studies conducted for clients. Grim is a member of the Advisory Board of The Journal of Impact and ESG Investing. He earned a B.S. from the University of North Carolina at Wilmington. He is a CFA® charter holder and a member of the CFA Institute and the CFA Society of Philadelphia.

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  • LGBTQ Financial Experience

    Product not yet rated Contains 3 Component(s) Includes a Live Web Event on 10/14/2020 at 10:00 AM (MDT)

    ​The LGBTQ population contains between 16 - 20 million people in the US, with an estimated $884 billion in buying power as of 2014.

    The LGBTQ population contains between 16 - 20 million people in the US, with an estimated $884 billion in buying power as of 2014. Yet, LGBT investors tend to be more conservative and less diversified in their investing preferences than those of non-LGBT investors. Many same-sex couples say they need assistance with financial planning because of unique financial situations facing LGBT investors.


    • To better understand the financial concerns of the LGBTQ community and how the advisor population can better help LGBTQ investors
    • About the LGBTQ community 
    • The changing legislative landscape 
    • Unique circumstances, challenges, and priorities 
    • Financial concerns among LGBT investors 

    Josh Stoffregen-Foye

    Vice President, Head of Global Communications, Workplace Business, Prudential Financial

    A New Yorker who was raised in the Midwest, Stoffregen-Foye is a corporate spokesperson, ambassador and passionate advocate on retirement issues + the LGBT community + physical wellness.

    He currently leads global communications strategy and media relations for Prudential’s Workplace Solutions Group, which comprises Prudential Retirement and Prudential Group Insurance, both business units of Prudential Financial.
     
    Prior to Prudential, Stoffregen-Foye was a managing editor for the News Division at Institutional Investor. A distinctive storyteller, he enjoyed various reporting and columnist roles before leaving journalism for Corporate America. A favorite post of his early cub reporter days: his role as a writer at Missouri’s Ozarks Senior Living, a monthly covering the aging population of the Ozark Mountains.
     
    Stoffregen-Foye is currently on the Executive Committee of the Cancer Center Patient-Family Advisory Council (PFAC) at NewYork-Presbyterian Hospital, a member of The LGBT Community Center of NYC’s Leadership Society and a key corporate partner to the National Lesbian and Gay Journalists Association.
     
    Other leadership experience includes his work as president for Prudential’s LGBTQA business resource group, PRIDE, from 2010 to 2014 and his role as president of Prudential’s ADAPT (Abled and Disabled Associates Partnering Together) business resource group from 2015 to 2016. He also served as the project lead and executive champion for Prudential’s enterprise-wide launch of the 2012 LGBT Financial Experience and the 2016 follow-up in a post marriage equality landscape.

  • Philanthropic Solutions in Financial Planning

    Contains 6 Product(s)

    The American Heart Association and the Financial Planning Association® (FPA®) have joined together to deliver a learning series: Philanthropic Solutions in Financial Planning, an FPA & AHA Certificate Program, to support financial planners and their work in advising clients on philanthropic giving.

    The American Heart Association and the Financial Planning Association® (FPA®) have joined together to deliver a learning series: Philanthropic Solutions in Financial Planning, an FPA & AHA Certificate Program, to support financial planners and their work in advising clients on philanthropic giving. 

    The educational curriculum has been customized for FPA members and presents topics on facilitating meaningful philanthropic conversations with clients using trusts and beneficiary designations that work to meet client objectives, and strategies to effectively guide your clients to develop a family philanthropy strategy. Additional course topics include an in-depth look at Charitable Remainder Unitrusts, private foundations, Donor Advised Funds, endowments and Charitable Lead Trusts. This series will address discussions around the tangible and intangible benefits of solutions in families and the role of family philanthropy in effective wealth and business succession. The six-part certificate learning series will begin on September 30, 2020. 

    • Course 1: The Benefits of Philanthropy and Ways to Engage Clients in Philanthropic Discussions
    • Course 2: Charitable Legacies through Bequests and Beneficiary Designations
    • Course 3: Deferred Gifts That Bring Great Comfort Today: Gift Annuities and Retained Life Estates
    • Course 4: Problem-Solving Applications of Charitable Remainder Trust
    • Course 5: Donor-Friendly Alternatives to the Private Foundation: Donor Advised Funds, Endowments and Charitable Lead Trusts
    • Course 6: Balancing Charitable and Family Legacies
  • Marriage Equality: Planning for an Advancing World

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

    Discrimination and protection issues still exist for the LBGTQ community despite the progress that has been made on the state and federal levels.

    Discrimination and protection issues still exist for the LBGTQ community despite the progress that has been made on the state and federal levels. Join Joshua T. H. Charles, CFP®, as he discusses how LBGTQ planning has evolved over the years, what issues individuals face and what needs to be considered when planning for investors. He’ll also explore how to create a more diverse and inclusive practice for planners and their clients.

    • Demonstrate how a planner can develop a relationship of honesty and trust within the LGBTQ community
    • Select appropriate communication techniques for use with LGBTQ clients to build an inclusive and diverse practice
    • Evaluate how LGBTQ investors’ values, attitudes, circumstances, challenges and priorities affect their goals and a planners’ recommendations
    • Identify the planning issues and discrimination factors to consider that may differentiate the analysis and advice typically given to heterosexual married clients

    Joshua T. H. Charles, CFP®, ChFC®, CLU®, ADPA®, CEP®, CLTC®, WMS, AIF®

    Founder, Financial 360, LLC

    Joshua T. H. Charles focuses on creating customized financial plans designed to help individuals and families make informed decisions for their financial future.

    Joshua founded Financial-360, LLC, an independent practice, and provides financial services to his clients, primarily serving the Washington, DC area, but with a growing practice in several states. Joshua helps both individuals and couples keep their financial lives in order by providing them with the necessary financial tools and education needed to handle long-term decisions and avoid unexpected financial outcomes. He and his team have extensive experience in investment planning, asset preservation and estate provisions, retirement planning, property ownership and special considerations concerning sudden illness or the death of a family member.
    Joshua has committed to ongoing professional education in his field, earning important credentials that help enrich his clients' customized plans with the knowledge he has acquired. He is a CERTIFIED FINANCIAL PLANNER™ professional, Chartered Financial Consultant® (ChFC®), Chartered Life Underwriter® (CLU®), Accredited Domestic Partnership AdvisorSM (ADPA®), Certified Estate Planner™ (CEP®), Certification for Long-Term Care® (CLTC®), Wealth Management Specialist (WMS) and Accredited Investment Fiduciary® (AIF®).

    Joshua has been quoted, featured or interviewed by most of the major investment planning media (Investment Advisor magazine, CFP Board Report, SmartMoney.com, Reuters, NPR, Journal of Financial Planning, Wall Street Journal, RIABiz, RIA Central Digest and OnWallStreet magazine). He is an in-demand speaker on the national level as an Ambassador for the CFP® Board of Standards for financial professionals. He is a member of the Financial Planning Association at both the local and national levels.
    Joshua is registered with Raymond James Financial Services, Inc. (member FINRA/SIPC) as a General Securities Registered Representative (Series 7). He also holds Series 63 (Uniform Securities Agent State Law exam), Series 65 (Uniform Investment Adviser Law Exam) registrations for Investment Advisor Representatives and is a Registered Principal (Series 24).

    Born in North Carolina, Joshua grew up in Rockville, Maryland, where he attended Thomas S. Wootton High School. He earned his Bachelor's Degree from Florida State University.

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

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

    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 that financial planners can take to nudge clients toward better outcomes
    • Illustrate how clients’ life stages and responsibilities may shape their concerns related to the 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.

    Dr. Brad Klontz, Psy.D., CFP®

    Founder, Financial Psychology Institute® and Associate Professor of Practice in Financial Psychology at Creighton University Heider College of Business

    Bradley T. Klontz is a founder of the Financial Psychology Institute® and an associate professor of practice in financial psychology at Creighton University Heider College of Business. He is a managing principal of Your Mental Wealth Advisors, a fellow of the American Psychological Association, and a former president of the Hawaii Psychological Association. He has partnered with organizations including Capital One, JP Morgan Chase and H&R Block in efforts to help raise public awareness around issues related to financial health and financial psychology.

    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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  • Journal of Financial Planning CE Exam: September 2020

    Contains 2 Component(s), Includes Credits

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

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

    • Summarize  how to leverage virtual client meeting in order to provide effective recommendations
      Interpret research findings from tele-mental health research that indicate virtual delivery of recommendation is just as effective as in-person delivery
    • Outline a new hierarchy of how clients can achieve financial wellness, through organizational and behavioral changes
      Demonstrate an understanding of the role health-related events, and their unknown certainty and costs, play in clients’ fears when planning for the future

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

    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

    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: Becoming a Quarterback for Clients’ Longevity Planning Teams

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

    ​Financial planners need to play a key role in providing holistic guidance to baby boomers to meet these clients’ needs by shifting from being asset managers to lifestyle managers.

    Financial planners need to play a key role in providing holistic guidance to baby boomers to meet these clients’ needs by shifting from being asset managers to lifestyle managers. Join the July 2020 Journal of Financial Planning contributor Robert Mauterstock, CFP®, CLU®, CHFC®, CLTC®, aging-plan expert Annalee Kruger, and Robert Powell, CFP®, as they explain how to develop a team of specialists to provide expertise on long-term care planning, legal issues, legacy planning and end-of-life planning for clients and their families. This online, interactive roundtable conversation will be moderated by Terry Bradford-Crane, CFP®, Journal in the Round moderator and FPA member.

    • 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
    • Select appropriate communication techniques for use with individual clients

    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.

    Annalee Kruger

    Co-Founder, Plan4LifeNow

    Annalee Krugeris co-founder of Plan4LifeNow. She realized how little financial advisers understood about the financial and career toll of family caregivers, and common issues like dementia and the cost of care. She and her business partner, Bob Mauterstock, train and coach those in the financial industry on topics such as aging issues. Kruger has devoted her entire career to seniors and their families and began her career as an activities assistant in an assisted living community while she earned her degree in social work. 

    Robert Powell, III, M.S., CFP®

    Editor, Columnist, Contributor

    Robert Powell is the editor and publisher of Retirement Daily on TheStreet. He is also a retirement columnist for USA TODAY, as well as the editor of the Investments and Wealth Institute’s (IWI) Retirement Management Journal, the first-ever peer-reviewed journal focused solely on retirement income, and host of IWI’s Exceptional Advisor podcast. Powell is also a founder of FinStream.tv, a new streaming service focused on personal finance, a columnist for Callaway Climate Insights, and an instructor in the Salem State University Online Elder Planning Specialist program. Over the years, his work has been published in The Wall Street Journal, The Financial Times, MarketWatch, and AARP. Previously, Powell served as the editor of Retirement Weekly, published by MarketWatch-Dow Jones.

    Terry Bradford-Crane, MBA, CFP®

    Owner, BradfordCrane Company LLC

    Terry Bradford-Crane owns BradfordCrane Company LLC, an investment adviser in Washington. She is a graduate of the U.S. Naval Academy and a former naval flight officer. Bradford-Crane began her career as a financial adviser with Merrill Lynch in 1998. In 2004 she established BradfordCrane Company, a business platform that enabled her to educate individuals on investment topics, inspire investors to reach for financial independence, and provide pro bono financial planning advice to organizations and individuals as a service to her community. 

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  • 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(R) believes that to be a true profession, we must expand the body of knowledge and encourage practitioners to be more evidence-based. He is currently serving FPA as the Practitioner Editor of the Journal of Financial Planning. In addition, he is a past national President of FPA. In 2019, he was highlighted as one of the “twenty most influential men and women” in an issue of InvestmentNews that focused on the 50th anniversary of the start of the financial planning profession. A frequent presenter at conferences and events, Dan has spoken to planner groups on six continents.

    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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