Have you ever wondered how the financial industry works, or maybe even what responsibilities your own financial or insurance advisor has to you as their client?

In this webinar, we will break down the history behind the financial service industry including brokers/dealers, banks, investment advisors, and insurance agencies, and how we got to where we are today. We will talk about how advisors work and what their responsibilities are to you as a client as well as how advisors get paid for the services they perform.

What we have found is it all comes down to choices. The choices the industry made to be where it is today. The choices advisors made to be where they are today. And the choices you get to make about how you will interact with the industry and its advisors going forward.

Learning Objectives:

• Evaluate the history of the financial services industry


• Identify the difference between suitability and fiduciary


• Recognize how advisors get paid


• Evaluate what sets advisors apart and why

NASBA Approved

CPAacademy.org (Sponsor Id#: 111889) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

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