CFP, CPA, EA s and more: Understanding Who s Who in the World of Financial Professionals
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1 Making Cents - October 25, 2017 PENNSYLVANIA HOUSING FINANCE AGENCY CFP, CPA, EA s and more: Understanding Who s Who in the World of Financial Professionals Presented by: Holly Chase, CFP
2 Today s Objective 1. General overview of financial services 2. Identify players and permissions required for people delivering them 3. Compare licensure vs. certification 4. Certification requirements 5. Common financial certifications
3 Are They All Real? CLU RIA EA CFA RFP ChFC CPA FSW FCC AFC RFC CIC CFP
4 Financial Services Banking Insurance Investments Other Transactional Accounts Savings Products Loans Life, Health, Disability, Long-Term Care Property & Casualty Annuities Stocks, Bonds, Mutual Funds Options, Commodities Advice Tax Preparation Financial Plans
5 Players, People, Permission Banking Players Banks Credit Unions Investment Firms People Tellers Personal Bankers Loan Officers Trust Officers Permission PA Dept of Banking and Securities (DOBS)
6 Insurance Players People Permission Companies Banks Credit Unions Investment Firms Brokers Agents/Producers PA Insurance Department
7 Investments Players People Permission Investment Firms Companies Banks Credit Unions Brokers Registered Reps Investment Advisors DOBS Securities and Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA)
8 Other Players People Permission Accounting Firms Tax Preparation Services Financial Planning Firms Accountants Enrolled Agents Paid Tax Preparers Financial Planners State Board of Accountancy IRS???
9 Side Bar: Financial Planners 1. General term for a financial professional who helps develop a strategy for managing your money 2. Can be called planners, advisors, consultants 3. Products and services vary 4. Compensation method varies 5. Licensure required if financial products are offered for sale
10 Licensure vs. Certification Licensure Certification Legal authority to conduct business or service; involuntary; government-regulated; some result in a designation Recognition of meeting certain criteria pertaining to business or service; voluntary; self-regulated CPA Certified Public Accountant EA Enrolled Agent RIA Registered Investment Advisor
11 Licensing Requirements Education Examination Experience Ethics Education (continuing)
12 Certification Requirements Education Examination Experience Ethics Education (continuing)
13 Who Certifies and Watches? Independent Boards Education Providers Industry Associations Individuals
14 Sample Certifications Banking Insurance Investments Other CMB Certified Mortgage Banker CLU Chartered Life Underwriter CIC Certified Insurance Counselor CFA Chartered Financial Analyst CFP Certified Financial Planner ChFC Chartered Financial Consultant AFC Accredited Financial Counselor
15
16 What s Left? FSW RFC RFP FCC
17 Final Words on Certifications RFP Registered Financial Planner [Registered Financial Planners Institute] Appropriate Licenses $150/year CE: 20hrs/3 years RFC Registered Financial Consultant [International Association of Registered Financial Consultants] Appropriate Licenses $150/year CE: 40hrs/year FSW Certificate in Financial Social Work [Center for Financial Social Work] Five interactive lessons $595 (one time fee) CE: None FCC Financial Crusader in Christ Free!
18 Recap 1. General overview of financial services 2. Looked at the players and permissions required for people delivering them 3. Compared licensure vs. certification 4. Introduced common financial certifications 5. Comparison tools and resources
19 Making Cents - October 25, 2017 PENNSYLVANIA HOUSING FINANCE AGENCY Thank You! Holly Chase, CFP hchase@phfa.org
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