How Do I Become a Registered Investment Advisor

Checklist:  Once you have decided to enter the business of investment advising, contact your state securities commission and ask for an investment advisor registration packet. Determine if an examination is required. Most states require you to take the Series 65 exam.
Published on October 21, 2011

What Skills Do I Need to Provide Personal Financial Planning Services

Assessment:  See what skills you may need to provide Personal Financial Planning services. The AICPA Competency Self-Assessment Tool (CAT) provides current and future CPAs with a basis for self-assessment and career planning. Use this online skills assessment tool to help build a plan.
Published on March 24, 2011

One CPAs Story on Becoming a Registered Investment Advisor

Member Profile:  CPAs are realizing more and more that their financial competence, coupled with their ethical commitment, make them ideal candidates to become financial planners and investment advisors. In addition, CPAs are already adept at nurturing long term client relationships.
Published on March 24, 2011

Introduction to Investment Planning

Article:  Investment Planning is the process of identifying and implementing effective investment strategies to create and accumulate the financial resources for achieving financial planning goals. One of the key building blocks for a successful investment advisory practice is a strong custodial relationship.
Published on March 24, 2011

Checklist Are Investment Advisory Services Right for You

Checklist:  This checklist can help you evaluate your strengths and weaknesses and identify developmental needs before you move forward with the delivery of IAS services. Access a link to download the checklist.
Published on March 24, 2011

Investment Advisory Services Questionnaire

Checklist:  Although there is no quantitative way to determine how well Investment Advisory Services (IAS)  will fit into your practice, this checklist can help you evaluate your strengths and weaknesses and identify developmental needs before you move forward with the delivery of IAS services.
Published on March 24, 2011

Business Structure Plays a Key Role for CPA Planners in Business Continuity

Article:  CPAs have a variety of business structure options to choose from in building a PFP practice. Choosing the one that is right for you takes time and careful consideration.
Published on September 20, 2010

Compensation and Disclosure Whitepaper

Article:  Establishing compensation arrangements is one of the most troublesome issues facing CPAs providing PFP services. It is up to the CPA to individually evaluate the many issues involved in compensation and establish arrangements that are most appropriate in their practices.
Published on May 11, 2010