Retirement Plan Services I
Discover qualified plan design, ERISA requirements, and fiduciary responsibilities. Study profit sharing and 401(k) plans. Valuable for retirement professionals and those pursuing the CRPP® designation
Retirement Plan Services II
Examine IRAs, 403(b), and 457 plans. Study complex qualification rules, vesting, and top-heavy regulations. Explore defined benefit structures. Beneficial for advanced professionals and CRPP® candidates. Prerequisite: RPS I.
Retirement Plan Services III
Master advanced topics including SECURE Act, distribution rules, and Modern Portfolio Theory. Develop lifetime income strategies and complex plan management skills. Essential for senior professionals and CRPP certification. Prerequisites: RPS I and II.
Sales and Practice Management
Elevate your client relationship skills and personal brand. Develop strategies to retain and expand client relationships while creating new opportunities. Gain key financial insights to serve high-value clients effectively. Ideal for advisors seeking to grow their practice and increase revenue.
Securities Operations I
Explore securities markets, financial instruments, and regulations. Ideal for those new to securities operations or working towards the CTOP® designation. Cover primary and secondary markets, various securities types, and key regulatory concepts.
Securities Operations II
Advance your securities knowledge with personal trust taxation, agency services, and corporate trust. Study trust audit, compliance, and risk management. Valuable for professionals and CTOP® candidates. Prerequisite: Securities Operations I.
Securities Operations III
Master complex securities topics including industry facilities, mortgage-backed securities, and global custody. Explore trust tax implications and audit practices. Essential for senior roles and CTOP® certification. Prerequisites: Securities Operations I and II.
Special Needs Trusts
Enhance your expertise in Special Needs Trusts. Focus on beneficiary care, government program benefits, taxation, guardianship, and social security to ensure optimal long-term protection and service quality for clients.
Thriving in Volatile Markets
Hone strategies to guide clients through market turbulence. Learn proactive techniques and behavioral finance insights to manage relationships and reduce stress. Ideal for advisors seeking to enhance client retention during market declines. Earn a Certificate in Applied Behavioral Finance.
Trust Audit, Compliance & Risk Management I
Begin your journey towards CFIRS® certification. Explore industry regulations, property law, and trust types. Ideal for regulatory professionals and internal trust auditors. Cover key topics in transfer taxes, probate administration, and high-risk areas in trust management.
Trust Audit, Compliance & Risk Management II
Advance your CFIRS® knowledge with trust accounting, taxation, and audit principles. Delve into the securities marketplace, equities, and debt securities. Enhance your skills in portfolio management and securities lending. Prerequisite: TACRM I.
Trust Audit, Compliance & Risk Management III
Master complex CFIRS® topics including ERISA responsibilities, retirement plan features, and RIA compliance. Explore securities operations, corporate trust, and agency services. Essential for senior regulatory roles and CFIRS® certification. Prerequisites: TACRM I and II.