Client Relationships


Client Relationships (CE Credit)
Collapse 3-Course Bundle - The Advisor

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Buy all three courses, now available on demand, in this very popular and highly regarded webinar series presented by Vanguard.

 

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Collapse 4 Easy Ways 529

 

Join  this session for an in-depth look at how 529 college savings plans can help meet the different needs of clients of every generation. Learn about specific strategies to engage grandparents, Gen-Xers, Millennials, and employers that will deepen relationships and spur successful relationships across channels.

 

Level of Complexity: Intermediate

 

Formats Available: Streaming, Event
Original Course Date: May 18, 2017
On-Demand Release Date: Available Now

Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE 4 Easy Ways 529
    Collapse 7 Steps to Protect Yourself, Your Practice and Your Clients Who Have Diminished Mental Capacity - On Demand

    2017 FPA Retreat

     

    What do you do when you discover that one of your clients has a diminished mental capacity? If you don't know what steps to take to protect your client and your practice, both may be at risk. Learn the best practices to follow when one of your clients has a loss of memory and develop a protocol to use with every client you suspect may have diminished mental capacity. Develop the skills to develop a relationship with the client's 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.

     

    Level of Complexity: Overview

    Formats Available: Streaming
    Original Course Date: April 26, 2017
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE 7 Steps to Protect Yourself, Your Practice and Your Clients Who Have Diminished Mental Capacity - On Demand
    Collapse Advisers of Possibility - On Demand

    2017 FPA Retreat

    We live in disruptive and challenging times. While the future has always been uncertain, the speed and complexity of today's change is leaving many behind – disoriented and struggling to cope. What worked in the past appears no longer adequate. Knowledge and information, once stable sources of economic power, are no longer enough. As planners, we are called to take action. And with over 170,000 CFP® professionals worldwide, financial planning is uniquely positioned to become one of the most important professions of the 21st Century. But we are not there yet. The future demands new skills, new sensibilities, and a new way of being. Join Don St. Clair as he explores how our everyday common sense notion of language and communication blinds us to possibility, and constrains our capacity to reinvent financial reality with others. Offering a new interpretation, St. Clair will share his vision of what it means to be a CFP professional in the 21st Century.

     

    Level of Complexity: Advanced

    Formats Available: Streaming
    Original Course Date: April 25, 2017
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Advisers of Possibility - On Demand
    Collapse Difficult Conversations 2: Encouraging (Not Enabling) Adult Children Towards Independence


    PLEASE NOTE THAT CE CREDIT IS ONLY AVAILABLE FOR THE LIVE PRESENTATION

    Part 2 of Difficult Conversations Three-Part Series


    Giving becomes hurtful financial enabling when clients support their adult children to the detriment of their retirement plans, the relationship between the parent and adult child, or the esteem of the adult child. The most common forms of hurtful and helpful giving are college funding, loans, and ongoing financial support. Join Sarah Swantner, MS, CFP, NCC, and Rick Kahler, MSFP, CFP, as they describe how to use financial therapy techniques and practices in unison with financial planning tools and practices to support clients in having difficult financial conversations with adult children. Swantner and Kahler will identify how to manage financial expectations, address financial enabling, and how to support and foster healthy financial decisions before “serious” potential problems arise.

    Formats Available: Webinar + Archive
    Original Course Date: May 21, 2019

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Difficult Conversations 2: Encouraging (Not Enabling) Adult Children Towards Independence
    Collapse Difficult Conversations 3: Couples Dealing with Financial Infidelity


    PLEASE NOTE THAT CE CREDIT IS ONLY AVAILABLE FOR THE LIVE PRESENTATION

    Part 3 of Difficult Conversations Three-Part Series


    Financial planners are faced with a multitude of difficult conversations or situations with their clients. In the third of this series on this topic, Nathan Astle and Megan McCoy, Ph.D., LMFT, will discuss the challenges financial planners face when dealing with a couple’s financial infidelity or or when one client shares a secret they cannot share with their partner. A recent article in the Journal of Financial Therapy highlights the rates of financial infidelity in this country with 27 percent of couples admitting to keeping a financial secret from their partner, and 53 percent of couples reporting behaviors associated with financial infidelity. In part three of the Difficult Conversations Program Series, participants will develop introductory skills for managing couples in conflict and will know how and when to refer to a financial therapist for additional support.  

    Formats Available: Webinar + Archive
    Original Course Date: June 25, 2019

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Difficult Conversations 3: Couples Dealing with Financial Infidelity
    Collapse Extending the Advisor

    Gain a deeper understanding of behavioral coaching, the Vanguard Advisor's Alpha tenet that can provide the most value for your clients. Learn why consumers' typical, ratings-driven approach to decision-making does not translate well to the investment world. We will discuss the value you add as an effective behavioral coach and how Vanguard can help. Emphasis is placed on the importance of the financial plan and the emotional circuit-breaker role that advisers can play for their clients.

    Level of Complexity: Overview

    Formats Available: Streaming
    Original Course Date: December 04, 2018
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Extending the Advisor
    Collapse FPA Annual Conference 2018: All in the Family : Generational Wealth Transfer - On Demand

    Intergenerational wealth transfer represents one of the largest attrition risks to advisers' book of business. But there are steps they can take to build better relationships with an entire family by meeting the family's specific needs and serving the family better. In turn, this will help extend advisers practice to the next generation.

    Overview: General review of subject from a broad perspective/ dive into basic knowledge on a skill or topic. For newer CFP or unfamiliar with subject

    Formats Available: Streaming
    Original Course Date: October 03, 2018
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE FPA Annual Conference 2018: All in the Family : Generational Wealth Transfer - On Demand
    Collapse FPA Annual Conference 2018: Behavioral Finance Panel - On Demand

    The compelling research on the powerful relationship between client behavior and financial decision-making continues to grow, leaving the onus on financial planners to not only keep up with the growing body of knowledge, but also the responsibility of using it to help clients achieve financial health and success.  Join this panel of researchers and experts in this area to unpack and understand the most recent trends and relevant applications of behavioral economics.
     

    Overview: General review of subject from a broad perspective/dive into basic knowledge on a skill or topic. For newer CFP or unfamiliar with subject

    Formats Available: Streaming
    Original Course Date: October 03, 2018

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE FPA Annual Conference 2018: Behavioral Finance Panel - On Demand
    Collapse FPA Annual Conference 2018: Building a Niche: Serving Women in Transition - On Demand

    According to a recent study by UBS, 59 percent of widows and divorcees wish they had been more involved in long-term financial decisions. Women in transition need a particular approach in financial planning to help them ensure financial security at this time of uncertainty. For many of these women, it may be the first time they have handled the finances on their own. 

    Francis Financial released a white paper on women, money and divorce. This presentation will share a brief overview of the study’s findings on the financial, legal and emotional challenges women face in divorce when getting a divorce. The primary focus of the presentation will discuss the best practices of supporting female clients during this transition, as well as how to effectively work with this niche.

    Overview: General review of subject from a broad perspective/ dive into basic knowledge on a skill or topic. For newer CFP or unfamiliar with subject

    Formats Available: Streaming
    Original Course Date: October 03, 2018

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE FPA Annual Conference 2018: Building a Niche: Serving Women in Transition - On Demand
    Collapse FPA Annual Conference 2018: Financial Exploitation of The Elderly - On Demand

    Participants will learn of the new federal and state regulatory schemes, which require financial planners to serve as the frontline defense against financial exploitation of the elderly and other protected persons. After a review of the new regulations, a comprehensive plan will be suggested to achieve regulatory compliance and allow for the best chance of a successful incompetency planning and transition of assets to the next generation. Estate planning and client retention issues, along with practical guidance on dealing with these delicate issues on an ongoing basis, will be addressed.
     

    Overview: General review of subject from a broad perspective/dive into basic knowledge on a skill or topic. For newer CFP or unfamiliar with subject

    Formats Available: Streaming
    Original Course Date: October 03, 2018
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE FPA Annual Conference 2018: Financial Exploitation of The Elderly - On Demand
    Collapse Inside Client Behavior: Use Behavioral Economics to Find Loss Aversion Before It Finds You - On Demand


     

    Learn how behavioral economics can predict client behavior in volatile markets. Professor Shachar Kariv has spent 15 years focusing on the science of understanding individuals through their decisions, not their words. In the first of part this webinar series on behavioral economics, Kariv will share insights from his research and the tools that are available to help you precisely understand client preferences. He’ll show you how you can tease apart client risk tolerance and loss aversion, so that you can predict in advance which of your clients are most likely to make rash decisions when markets turn down.


    Level of Complexity: Overview

    Formats Available: Streaming
    Original Course Date: August 02, 2018
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Inside Client Behavior: Use Behavioral Economics to Find Loss Aversion Before It Finds You - On Demand
    Collapse Measuring Financial Well-Being

    Measuring Financial Well-Being introduces financial planners to the Financial Well-Being Scale, a tool that was created and published by the Consumer Financial Protection Bureau, a U.S. government agency that makes sure banks, lenders, and other financial companies treat consumers fairly. In this self-paced course, designed especially with financial planners and their clients in mind, participants will learn about the value of using this tool not only as a data point in assessing a client's overall financial status, but also as a meaningful conversation-starter when beginning to talk about a financial life plan. Planners will get detailed information on administering the scale, as well as gathering scores and applying them as a metric to track client progress both individually and collectively. The Financial Well-Being Scale is free of cost and free from copyright so it can be used and shared freely.


    This one-hour CFP® CE credit course is free to FPA members. A version of this course is available on the CFPB’s website at no charge. The CFPB’s version does not include automatic reporting of completion to the CFP Board and requires self-reporting, which may also require payment of fees. See this course and more CFPB webinars here.

    Formats Available: Streaming
    Original Course Date: September 26, 2018

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Measuring Financial Well-Being
    Collapse Putting  Value on Your Value: Quantifying  Benefits of Portfolio Construction, Wealth Management, and Behavioral Coaching Services - On Demand

     

    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. 

     

    Level of Complexity: Overview

    Formats Available: Streaming, Event
    Original Course Date: April 05, 2017
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Putting  Value on Your Value: Quantifying  Benefits of Portfolio Construction, Wealth Management, and Behavioral Coaching Services - On Demand
    Collapse Supporting the Needs of Our Senior Clients: Managing the Process from Wants to Needs - On Demand

    2017 FPA Retreat

     

    As clients' needs change, our role as planners must evolve as well. For some of our clients, it is adjusting to the challenges of aging. For others, it is planning for the demands of elder caregiving.

     

    In either scenario, we have responsibilities as planners and advisers to assist people in understanding and managing the process. In many cases, the problems arise when there is a difference of opinion about what is best for mom, or a senior's lack of insight about what is safe or who should be in charge.

     

    How do you manage the gap that is created as client capacity changes? How do you establish and/or maintain a relationship with the adult children? When client needs change, will you have the resources at your disposal to meet those needs? if you are not recognized as a resource in these situations, your clients, or their decision makers, will find someone else to play that role.

     

    Level of Complexity: Intermediate

    Formats Available: Event
    Original Course Date: April 26, 2017
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Supporting the Needs of Our Senior Clients: Managing the Process from Wants to Needs - On Demand
    Collapse Utilizing Planner Way-of-Being and Spiritual Intelligence (SQ) to Bridge Planners and Clients of Different Generations - On Demand

    2017 FPA Retreat

    This session will look at the financial planning interactions between planners and clients of different generations. The focus will be on recognizing and applying how the planners way-of-being and level of spiritual intelligence (SQ) can be used within a financial planning engagement to bridge generational differences in order to develop a financial planning engagement steeped in trust and a deeper more affecting client relationship.

     

    Level of Complexity: Intermediate

    Formats Available: Streaming
    Original Course Date: April 25, 2017

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Utilizing Planner Way-of-Being and Spiritual Intelligence (SQ) to Bridge Planners and Clients of Different Generations - On Demand
    Collapse You Are the Value: Rethinking and Articulating the Value Proposition Beyond Returns - On Demand

     

    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.
     

    Level of Complexity: Overview

    Formats Available: Streaming
    Original Course Date: November 13, 2017
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE You Are the Value: Rethinking and Articulating the Value Proposition Beyond Returns - On Demand
    Client Relationships (No Credit)
    Collapse  Journal in the Round: Marketing Fails To Learn From

    Join our panel of marketing experts featured in the July issue of the Journal of Financial Planning as they share common marketing fails that financial planners can sometimes make. While focusing on other people’s mistakes, the panel will discuss lessons learned and how they can be positively transformed into successful marketing strategies. The discussion will include a lively audience Q and A, and will be moderated by an FPA volunteer.

    Level of Complexity: Overview - General review of subject from a broad perspective/dive into basic knowledge on a skill or topic. For newer CFP or unfamiliar with subject

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: July 25, 2018
    On-Demand Release Date: Available Now
    ADD COURSEADD COURSE  Journal in the Round: Marketing Fails To Learn From
    Collapse Best Practice Spotlight: How SignatureFD Takes Client Niches to the Next Level


    The benefits of adopting a niche-orientation are well-known. Planners can gain greater efficiency, depth, and differentiation from these benefits. But what happens when planners build niches into actual client communities? Join Heather Fortner and Jay Loyd of SignatureFD in Atlanta, Ga. for an inside look at how they are creating differentiated value with this approach.

    Intermediate: Builds upon knowledge in an overview level/assume working knowledge of topic. For CFP with previous exposure / 3 years experience.

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: April 02, 2019
    On-Demand Release Date: Available Now
    ADD COURSEADD COURSE Best Practice Spotlight: How SignatureFD Takes Client Niches to the Next Level
    Collapse Drive Extreme Client Loyalty by Expressing Gratitude through WOW

    Join Dr. John Evans, executive director of Janus Henderson Investors professional development team, to learn how to drive extreme client loyalty through a strategic approach to gratitude. Research conducted by Janus Henderson Investors with more than 300 financial advisers showed an average of $30 million more in funds than advisers using an ad hoc approach. Organic growth is not easy, but the Janus Henderson experts have built a program designed to help advisers develop, execute and maximize road plans to meet growth targets. 

    Overview: General review of subject from a broad perspective/dive into basic knowledge on a skill or topic. For newer CFP or unfamiliar with subject

    Formats Available: Streaming
    Original Course Date: October 11, 2017
    On-Demand Release Date: Available Now
    ADD COURSEADD COURSE Drive Extreme Client Loyalty by Expressing Gratitude through WOW
    Collapse Journal in the Round : Next Generation of Planners Shifting the Paradigm

    September's Journal in the Round : Next Generation of Planners Shifting the Paradigm is a podcast hosted by Hannah Moore on her  weekly program, "You're a Financial Planner, Now What?" In this honest and engaging conversation, Hannah will sit around the table  with Journal contributors Yusuf Abugideiri and Russell Kroeger who co-wrote the cover story on their 3-step model for serving millennial clients.  They will be joined by fellow writers Lisa Kirchenbauer and Andrew Mehari, who shared their story in the September issue about building unique career paths for young planners, discussing the need for innovation in this space, and the new models being created by and for younger planners.  You can listen to this episode here and on FinancialPlannerPodcast.comiTunes, and Stitcher, starting September 26th.

    Formats Available: Streaming, Online Materials
    Original Course Date: September 26, 2017
    ADD COURSEADD COURSE Journal in the Round : Next Generation of Planners Shifting the Paradigm
    Collapse Journal in the Round: Journey Through Clients

    The emotional and physical stress that overwhelms clients faced with family-crisis situations often hinders clients’ abilities to make effective decisions and act on decisions. Join our panel of experts as they will discuss how financial planners can help clients navigate the demands of long term services and supports (LTSS), and explain the distinction between communicating with clients and coaching clients. This panel discussion incorporates September's client trust and communication theme of the Journal of Financial Planning. It will include an audience Q and A, and be moderated by an FPA volunteer.

    Level of Complexity: Overview

    Formats Available: Streaming
    Original Course Date: September 26, 2018
    On-Demand Release Date: Available Now
    ADD COURSEADD COURSE Journal in the Round: Journey Through Clients
    Collapse Journal in the Round: Preventing Financial Exploitation of Senior Clients

    In this month's Journal in the Round, our panelists John Renner and Robert Mauterstock will be discussing the implications of the new FINRA regulation, effective February 2018, regarding required protections for the most vulnerable senior clients.  The discussion and audience Q and A will be moderated by an FPA  host Bill Harris.

    Level of Complexity: Intermediate

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: January 31, 2018
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Journal in the Round: Preventing Financial Exploitation of Senior Clients
    Collapse Journal in the Round: Uncovering Success with Clients through Enhanced Listening and Way-of-Being

     

    The complexity of human interaction can disrupt financial planners' client communications and/or relationships because each person communicates within a context of their individual experiences and emotions. The contributors of March's Journal of Financial Planning, Dr. Stephen C. Brody and Barbara Kay, will discuss listening styles and tools, the OAR (Observer, Actions, Results) principle, collaboration and problem-solving techniques, and other client communication tips to help guide financial planners through difficult client conversations, and create meaningful client relationships that gain positive results. It will include an audience Q and A, and be moderated by Kieran Rooney, CFP.

    Overview: General review of subject from a broad perspective/ dive into basic knowledge on a skill or topic. For newer CFP or unfamiliar with subject.

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: March 27, 2019
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Journal in the Round: Uncovering Success with Clients through Enhanced Listening and Way-of-Being
    Collapse Know Your Clients


     

    According to a new benchmarking study of more than 350 planners conducted in partnership with FPA, leading planners are using deeper client knowledge to blaze new trails in creating value for their clients. The study shows they are doing that in three key ways: by provoking clients; focusing on niches; and engaging families. During the program, study insights, case examples and methods of leading planners who are pursuing each strategy will be shared.


    Level of Complexity: Intermediate - Builds upon knowledge in an overview level/assume working knowledge of topic. For CFP with previous exposure / 3 years experience

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: November 14, 2018
    On-Demand Release Date: Available Now
    ADD COURSEADD COURSE Know Your Clients
    Collapse The Art of Multigenerational Relationships: How to Connect to the Next Generation

     

    PLEASE NOTE THAT CE CREDIT IS ONLY AVAILABLE FOR THE LIVE PRESENTATION

    Learn about the importance of taking a full family approach to financial planning by creating multi-generational relationships within a client’s family. This webinar will educate you about the importance of financial advisers to take a full-family approach, creating multigenerational relationships within each client’s family. We’ll discuss industry research, statistics and trends, while sharing actionable steps to help you start building deeper, and more meaningful relationships with your clients and their families.
     

    Level of Complexity: Overview - General review of subject from a broad perspective/dive into basic knowledge on a skill or topic. For newer CFP or unfamiliar with subject


    Please note that if you register for this partner-sponsored webinar, you are opting to receive communication from this webinar's partner. For more information about FPA's privacy policy, click here.

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: July 18, 2018
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE The Art of Multigenerational Relationships: How to Connect to the Next Generation
    Collapse The Evolution of Vanguard Advisor


     

    Ryan Donohue, national speaker for Vanguard Financial Advisor Services, will provide perspective on industry trends, and recommend how financial planners can focus on high-value wealth management services to differentiate and thrive in an era of increased and diverse competition for advice. The discussion will cover how advisor's alpha provides value beyond portfolio returns, and how advice offerings continue to evolve as well as the current trends in regulations, fees, and technology.

    Overview: General review of subject from a broad perspective/ dive into basic knowledge on a skill or topic. For newer CFP or unfamiliar with subject.

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: March 20, 2019

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE The Evolution of Vanguard Advisor
    Collapse Your High Net Worth Client Strategy



    Nearly half of high-net-worth (HNW) investors, even those who claim they're satisfied with their primary advisers, plan to switch some or all of their business in the next 12 months.

    For HNW clients, it's not about what planners know. It's about what they want, and whether they trust planners to provide it. Join this program to learn how to serve HNW clients, and get techniques to help keep them.


    Level of Complexity: Intermediate - Builds upon knowledge in an overview level/assume working knowledge of topic. For CFP with previous exposure / 3 years experience

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: November 07, 2018
    On-Demand Release Date: Available Now
    ADD COURSEADD COURSE Your High Net Worth Client Strategy