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Resource Activate Your Variable Annuity Business

Variable annuities are simplifying, bringing new opportunities to grow your business. Take a quick dive into recent product evolutions and how to identify the best clients to engage for conversation.

Resource Global Equities: Think Small in a Big World

Examine how increased allocations to global small-cap securities have the potential to enhance overall portfolio returns, increase portfolio efficiency, and decrease overall portfolio correlations.

Resource Millennials, Money, and the Happiness Factor

Access research on what Millennials value and what motivates them financially.

Resource 10 Questions for Rejuvenating Your Millennial Conversations

Get to know each Millennial’s unique mindset

Resource Forward Momentum: Why Elite Teams Claim their Future as RIAs

The RIA model is leading the growth in the wealth management industry--as billion-dollar teams redefine the landscape. See why.

Resource The Mid-Cap Value Opportunity

The tactical and structural opportunity in the market’s sweet spot

Resource The Science of Superior Service

Gain insight into what plan sponsors really want

Resource A Four-Source Approach May Reward Investors

Municipal fixed-income investors can potentially enjoy strong long-term performance from a four source-approach that seeks investment opportunities from a variety of sources.

Resource A Perfect Union: Harmony Among Generations is the Best Approach

Learn about the challenges and benefits of Baby Boomers and Millennials working together. Find solutions on how these generations can come together to best serve clients as the industry evolves.

Resource 5 Reasons Clients Fire Their Advisors

Losing clients can be discouraging at best, but...it happens. Based on a study of 1,400 Advisors, here are the top five documented reasons financial professionals get dumped.

Professional Library Regulatory Oversight of Investment Advisors

From The Investment Advisor’s Guide to Compliance

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Professional Library Advertising Advisor Services and Credentials

From The Investment Advisor’s Guide to Compliance

Professional Library Agency and Principal Transactions

From The Investment Advisor’s Guide to Compliance

Professional Library Anti-Fraud Provisions of the Investment Advisers Act

From The Investment Advisor’s Guide to Compliance

Professional Library Best Practices for Working with Senior Investors

From The Investment Advisor’s Guide to Compliance

CE October 2017 CFP CE Test

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CE December 2016 CFP CE Test

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Professional Library

Books and Records Rule

From The Investment Advisor’s Guide to Compliance

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November 2016 CFP CE Test

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