Clients, Investment Recommendations and Strategies

Overview

This course will discuss client investment recommendations and strategies including the types of clients you will encounter and understanding the client profile, including management styles and investment theories.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Analyze client profiles
  • Explain various investment theories
  • Understand tax considerations
  • Describe retirement plans
  • Apply ownership and estate planning techniques
  • Understand the process of trading securities

Designed For:

Investment Adviser Representatives




Course Information

Adding additional credit may change exam requirements.