ABOUT THE PROGRAMAdvisor Group’s Women Forward and NextGen initiatives partnered with Advisors Ahead to create a development program to bridge the transition for the next generation of financial professionals. Recent graduates, practice associates, and career changers can get the foundation they need to excel quickly in their new role in financial services using the coursework contained in our new program.
Industry Preparatory Program
Introduction to Wealth Management
Fundamentals of Investment Advisory
Solutions
HOW DOES IT WORK?You have the freedom to customize the new Financial Professional Development Program to address your personalized development needs and goals. Participants can opt to complete the entire three program series, or select one or two programs of their choice.
AVAILABLE PROGRAMS
Retail Price $595 $785 $499
Advisor Group Price* $299 $479 $399
Program Length 12 Courses 13 Courses 8 Courses
Program Topics Financial planning and wealth management expertise
Asset allocation, due diligence, suitability requirements and more
Program CE Credits No CE Credits are availablefor this course
Wealth Management Specialist (WMS) certificate
CIMA®, CPWA®, Fi360 AIF®, AIFA®, PPC®
Pricingand Topics
An introduction to the financial services industry
FINANCIALPROFESSIONALDEVELOPMENTCURRICULUM
New Program!Special promotional
pricing through12/31/18!
$479 $539 $445
*Introductory pricing ends December 31, 2018.
FOR MORE INFORMATION ON THE CURRICULUM OR TO SIGN UPContact Advisors Ahead at 212-682-2600
FINANCIAL ADVISOR USE ONLY. Securities and investment advisory services are offered through Advisor Group, Inc. subsidiaries, FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc. and Woodbury Financial Services, Inc., broker-dealers, registered investment advisors and members of FINRA and SIPC. Advisor Group is a holding company.
INDUSTRY PREPARATORY PROGRAM // 12 CoursesThe Industry Preparatory Program provides an introduction to the financial services industry.
INTRODUCTION TO WEALTH MANAGEMENT // 13 CoursesDevelop financial planning and wealth management expertise with a foundation and the concepts and principles to accelerate your professional skills. Complete all 13 courses and earn the Wealth Management Specialist (WMS) certificate.*
FUNDAMENTALS OF INVESTMENT ADVISORY SOLUTIONS // 8 CoursesLearn through real-world insights and practical application of advisory topics, including general principles of asset allocation, due diligence, performance reporting, fiduciary and suitability requirements, and the evolution of the industry. CE Credits Eligible: CIMA®, CPWA®, Fi360 AIF®, AIFA®, PPC®.
*This curriculum was developed by Kaplan.
Onboarding and LocalPractice OrientationActivities provided by the student’s manager.
Ethics for Financial Services ProfessionalsUnderstand the ethical structure guidingfinancial services and professionalregulatory and enforcement bodies, lawsand supervisory requirements.
Regulation of Social Media and BlogsLearn regulatory requirements and guidance, best practices, and pitfalls to avoid when using social media and blogs for financial and investment communication and marketing.
Business Conduct of Registered RepresentativesUnderstand rules pertaining to private securities transactions, outside business activities, referral fees, loans from customers, scams, and more.
Business Practices of Investment AdvisorsDefines the term ‘Investment Advisor’ and covers registration requirements, business practices, and Form ADV, and the compliance, disclosure, and fiduciary duties.
Communication and Business DNA AssessmentsThe instruction, completion, and review of the student’s Communication & Business DNA assessments.
Communication DNA VideosCommunication DNA illustrates communication styles and teaches how to communicate effectively to build connection and trust with clients.
Communication and Business DNA VideosA continuation of the Communication DNA videos and the introduction to Business DNA.
Business DNA VideosIdentify natural behavior strengths in two sections: performance success factors and performance risks. Focus on influencing success while mitigating risks.
Investment Advisor RulesCovers the U.S. Investment Adviser Act of 1940 and the rules it created to govern investment advisors.
Final ReviewGroup call launching the continuous learning journey.
Development and Workplace ReviewIndividual call with the student’s manager/ team leader to design next steps in student’s development.
The Wealth Management Process FundamentalsConsiderations in wealth management to include: estate planning, tax consequences of charitable deductions, trusts, asset titling, tax credits, and more.
Time Value of Money PrinciplesThe common elements in solving time value of money calculations during the financial planning process, including proper use of a financial function calculator.
Measurement of Risk and ReturnAnalyze the risk/return relationship of investments, statistical measurements of a portfolio’s risk, asset performance and management techniques.
The Asset Allocation ProcessExamine returns of various asset classes over specific time horizons, practical approaches for asset allocation, and optimal strategies for various client needs.
Investment StrategiesExplore investment strategies, historical returns of equity and fixed-income investments, asset performance in portfolios, selection techniques, value investing and growth stock investing.
Tax Implications and Strategies in the Financial Planning ProcessUnderstand tax consequences of individual stocks, bonds, insurance-based products, real estate, and derivatives based on client profiles. Session covers tax systems, filing statuses, AMT and other calculations.
Credit and LendingLearn basic types of debt and financial options for securing mortgages, collateralized loans, education loans, and liability management for high-net-worth clients.
Insurance Products in Wealth ManagementLearn how to complete an insurance needs analysis, identify various risks, understand business and personal insurance use, long-term care insurance, liability contracts, and annuities.
Educational FundingUnderstand various education funding vehicles and planning techniques, including the American Opportunity Tax Credit, Lifetime Learning Credit, and Section 529 plans.
Business Ownership and PlanningExplore various types of business entities, how to select the appropriate entity, and financing, operation and disposition of closely held corporations.
Retirement Planning ConsiderationsLearn the basic steps in the retirement planning process, identify sources of income, and understand employer-sponsored plans and Social Security.
Equity CompensationUnderstand stock plans, non-qualified deferred compensation, restricted stock, stock appreciation rights (SARs) and employee stock purchase plans.
Estate PlanningFor financial planners working with high-net-worth clients, being familiar with estate planning techniques is essential. In this course, the import-ant reasons for estate planning are presented with descriptions of the various tools used to meet the estate wishes of clients.
Industry Components and Trends Part 1Develop a working understanding of platforms and solutions for investment advisory, and examine the role of a fiduciary.
Industry Components and Trends Part 2Further explore the various types of advisory businesses: the roles each play, client services, and degrees of interdependence.
Investment Products and SolutionsProduct solutions overview and development efforts. Understand how investor demand, changing demographics, and regulatory changes influence emerging products.
The Critical Value of Due Diligence and OversightLearn the evaluation factors for choosing a manager, fund or ETF as a fiduciary, including disclosure documentation, research and ongoing monitoring.
Asset Allocation and Portfolio ConstructionPortfolio analysis and asset allocation, including establishing investment objectives, developing strategies, estimating risk-returns, and evaluating performance.
The Consultative Process and its Relationship to Wealth ManagementUnderstand the integrative consulting process, including ongoing review of objectives and plans to provide a higher level of client service above other retail investment solutions.
Benchmarking and Performance ReportingReview strategies used to compare investment performance, including design and use of benchmark indices, goal-based investing, and the impact of underlying fees. Also included: GIPS and time-weighted vs. asset-weighted return calculations.
Code of Conduct and the Investment Advice BusinessGain an overview of Client Suitability relating to the Investment Advisor Code of Conduct, learn best practices for consumer data protection, and fiduciary responsibilities.
