Susan M. Tillery, CPA/PFS, CFP® , Tom Tillery, MA Ed, MSFS, CFP®, CLU®, ChFC®, LUTCF, CRPC®

American Institute of CPA's

    Credit Info
  • NASBA Field of Study

    Specialized Knowledge

  • Format

    1 year

  • Level


  • CPE Credit


  • Course acronym


  • Prerequisites

    Basic knowledge of the areas of personal financial planning (PFP)

  • Course duration

Investment Planning Process

SKU: PFPINV_17A_1 Category:
Investing is often thought of as a high-risk activity by those not familiar with the investment process. Yet, risk can be managed through the investment planning process.

Updated for the Tax Cuts and Jobs Act of 2017, this two-part course covers investing as a process and the professional environment. Narrated by Tom Tillery, this course examines the three phases of investment planning engagements:

  • Planning

  • Implementation

  • Monitoring and updating

In addition, the Statement on Standards in PFP Services (SSPFPS) No. 1, which provides the authoritative guidance and establishes enforceable standards for CPA's and AICPA members who provide investment planning services, will be discussed and explained in this course.
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blankTopics discussed

  • The Investment Process
  • Regulatory Environment
  • Professional Responsibilities

blankLearning objectives

  • Recall the required elements of a compensation disclosure
  • Identify the source of authoritative guidance and enforceable standards for CPAs and AICPA members who provide investment planning services
  • Recognize which organizations and individuals are exempt from registration as an investment adviser
  • Determine what information is required to appear on the Form ADV
  • Recall the appropriate disclosure for a registered investment adviser
  • Determine when registration with the Financial Industry Regulatory Authority Is required

blank Who will it benefit?

CPAs and financial planners with basic knowledge of, and interest in, personal financial planning.