Course Description:

Participants who attend this course will gain important skills to better screen and select financial advisers/planners, portfolio managers, brokers and brokerage firms, tax professionals, attorneys, and insurance agents.

Course Objectives:

• Learn the essential questions to ask before selecting a financial professional.
• Identify the ways financial professionals get compensated.
• Compare brokerage firms and other financial institutions.
• Determine what level of service is needed.
• Learn how to uncover red flags when choosing financial professionals.
• Be better able to protect against investment fraud.
• Define four crucial client rights in arbitration.
• Discuss the meaning and requirements for various professional credentials.
• Learn how to negotiate lower fees and trading costs.
• Organize and prepare financial information to save time and money.
• Discover how to perform thorough background checks.
• Review the governing organizations regulating financial professionals.

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