Kitces IAR Ethics CE Day
Fulfill your entire 6 hours of IAR Ethics CE — while also earning 6 hours of CE approved by the CFP Board, IWI, American College, and NASBA.
You MUST attend the live virtual event to earn CE. A full recording will be sent to all registrants to reference the event content.
About IAR CE Day
In 2022, a series of 7 states implemented the first-ever CE obligation for Investment Adviser Representatives (IARs), and in 2023 it was expanded to another 4 states. At its core, the new IAR CE obligation mandates that financial advisors earn 12 hours of continuing education credits each year – 6 hours on Products and Practice and 6 hours on their Ethics and Professional Responsibility. Any IAR who has more than the
de minimis number of clients in any of the affected states is subject to the new rule.
The Hosts
6 hours of compliance content can be a long day, but Michael and Adam are ready to keep the energy up and the program flowing throughout the day!
Michael Kitces
Michael Kitces
Michael is the Head of Planning Strategy at Buckingham Wealth Partners and is a passionate advocate for evolving, expanding, and institutionalizing excellence in financial planning. In addition, he is a co-founder of the XY Planning Network, the former Practitioner Editor of the Journal of Financial Planning, and the publisher of the e-newsletter The Kitces Report and the popular financial planning industry blog Nerd’s Eye View through his website www.Kitces.com, dedicated to advancing knowledge in financial planning.
Adam Van Deusen
Adam Van Deusen
Adam is an Associate Financial Planning Nerd at Kitces.com. He previously worked at a financial planning firm in Bethesda, Maryland, and as a journalist covering the banking and insurance industries. Outside of work, he serves as a volunteer financial planner and class instructor for non-profits in the Northern Virginia area. He has an MA from Johns Hopkins University and a BA from the University of Virginia.
6 hours of IAR Ethics CE Content with Industry Experts
Each guest will share information around ethics and regulation that is applicable to the situations you encounter every day with clients and in your practice.
Darin Shebesta
Darin Shebesta
Darin Shebesta, CFP®, AIF®, is passionate about making a difference in the lives of others. A Certified Financial Planner™ professional and Accredited Investment Fiduciary®, he empowers clients to pursue their passion for life through integrated and comprehensive financial planning and investment management, taking a patient and empathetic approach.
He joined Jackson/Roskelley Wealth Advisors in 2008. His professional background includes serving as a research analyst at Templeton Financial Services and as a financial representative intern at Northwestern Mutual. He earned a B.S. in finance with honors from the W. P. Carey School of Business at Arizona State University and a certificate in financial planning from Florida State University. He has been a CFP® Continuing Education ethics instructor for the Financial Planning Association since 2018 as well as the Retirement Resource Center since 2021. He was named a 40 Under 40 advisor with InvestmentNews in 2016.
Giving back to the community is a priority for Darin. He is an active member of the Rotary Club of Scottsdale, a member of Class 28 of Scottsdale Leadership, past president of the Financial Planning Association of Greater Phoenix, and past president of HOBY Arizona, a nonprofit focused on developing leadership within youth.
Karen Barr
Karen Barr
Karen Barr is President & Chief Executive Officer of the Investment Adviser Association, the leading association advancing the interests of fiduciary investment adviser firms. The IAA serves as the voice of the investment management community on key policy issues before Congress, the SEC, DOL, and other policymakers, and provides investment advisers with essential resources, connections, and opportunities to share best practices. The IAA’s members manage more than $35 trillion in assets for individual and institutional clients. Its member firms range from global asset managers to the medium and smaller firms that make up the majority of this community. Before assuming the role of President & CEO in 2014, Karen served as the IAA’s General Counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the Association and its members.
Prior to joining the Investment Adviser Association, Karen was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients in SEC investigations, securities class action litigation, internal corporate investigations, and securities regulatory matters. Karen received her B.A. from the University of Pennsylvania and her J.D. from the University of Michigan Law School.
Chris Stanley
Chris Stanley
Chris Stanley is the Founding Principal of Beach Street Legal LLC, a law practice and compliance consultancy for investment advisers and financial planners. In this role he provides legal advice and compliance counseling related to federal and state securities laws, SEC rules and regulations, RIA mergers & acquisitions, investment management compliance, RIA registration, and general corporate legal matters. Most recently he served as General Counsel for Loring Ward (now integrated into Buckingham Strategic Partners), a turnkey asset management provider headquartered in San Jose, California. He also previously served as Loring Ward's Chief Compliance Officer, as well as Chief Legal Officer and Chief Compliance Officer for the SA Funds – Investment Trust, a mutual fund family advised by Loring Ward. Chris received his J.D. and M.B.A. from Santa Clara University, and his B.A. from Boston College. He has also passed the FINRA Series 7 General Securities Representative and Series 24 General Securities Principal examinations, as well as the NASAA Series 66 examination. He is admitted to the State Bars of California, Missouri, and the District of Columbia.
Ben Henry-Moreland
Ben Henry-Moreland
Ben Henry-Moreland is a Senior Financial Planning Nerd at Kitces.com, where he researches and writes for the Nerd’s Eye View blog, using his experience as a financial planner and a solo advisory firm owner to help fulfill the site’s mission of making financial advicers better and more successful. In addition to his work at Kitces.com, Ben serves clients at his RIA firm, Freelance Financial Planning.
Scott P. Gill
Scott P. Gill
Scott P. Gill, MBA, IACCP® is an experienced compliance consultant with a strong background in RIA and Broker-Dealer compliance. He is the Founder and CEO of Synergy RIA Compliance Solutions, a firm that provides cost-effective compliance solutions for Registered Investment Advisers. Prior to launching Synergy, Scott served as Director of Compliance and Senior Compliance Consultant for XY Planning Network, where he pioneered the design and development of a suite of compliance services – as the firm experienced 8x growth from roughly 150 firms to over 1,200 firms during his five year period of contribution.
Scott began his financial services career in 2006 as a Registered Representative with E*Trade Financial in Alpharetta, GA. He has also worked with J.P. Morgan Private Banking in Chicago; with Wells Fargo Advisors in Chapel Hill, NC; and he served as Compliance Officer for Carolinas Investment Consulting in Charlotte, NC, a dually-registered RIA and Broker-Dealer firm that managed approximately $1 billion in assets under management. He graduated from The University of North Carolina at Chapel Hill and formerly held FINRA Series 7, 63, 65, 24, 4, and 53 Licenses.
Max Schatzow
Max Schatzow
Max Schatzow is a founder and partner of RIA Lawyers LLC. He is a business-minded regulatory lawyer that always tries to put himself in the client’s position. He assists clients in all aspects of forming, registering, owning, and operating an investment adviser. He prides himself in preparing clients and their compliance programs to avert regulatory issues, but also assists clients through examinations and enforcement issues. In addition, Max assists advisers with the formation of private investment funds and their ongoing operation. In his little spare time, Max enjoys watching, playing, and coaching sports and spending time with his wife and two children.
Leila Shaver
Leila Shaver
Leila Shaver, the founder of My RIA Lawyer, is a securities lawyer who has dedicated her 10+ year career to helping independent financial advisers and firms navigate the legal complexities of the financial services world. With a comprehensive range of services, including RIA and broker-dealer registration, ongoing broker-dealer and RIA compliance, contract drafting, mergers and acquisitions, private fund set-up and more, Leila and her team are committed to providing both legal and compliance services to their clients.
Leila started My RIA Lawyer after working as an associate attorney at a law firm that did not value her and her desire to practice law her way. With a passion for the securities industry and a commitment to making a difference, Leila has built a successful business by focusing on the needs of her clients and providing personalized services.
Agenda
Get ready for 6 Hours of engaging Ethics CE
Professional Ethics Obligations of Financial Planners (CFP Ethics-Eligible)
2 hours CE
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The duties CFPs have at all times around communication, compensation, technology, and privacy.
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How to fulfill their fiduciary duty when conflicts arise.
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How the 7 Steps of the Financial Planning Process apply in practice using case studies
Darin Shebesta
Darin Shebesta
Darin Shebesta, CFP®, AIF®, is passionate about making a difference in the lives of others. A Certified Financial Planner™ professional and Accredited Investment Fiduciary®, he empowers clients to pursue their passion for life through integrated and comprehensive financial planning and investment management, taking a patient and empathetic approach.
He joined Jackson/Roskelley Wealth Advisors in 2008. His professional background includes serving as a research analyst at Templeton Financial Services and as a financial representative intern at Northwestern Mutual. He earned a B.S. in finance with honors from the W. P. Carey School of Business at Arizona State University and a certificate in financial planning from Florida State University. He has been a CFP® Continuing Education ethics instructor for the Financial Planning Association since 2018 as well as the Retirement Resource Center since 2021. He was named a 40 Under 40 advisor with InvestmentNews in 2016.
Giving back to the community is a priority for Darin. He is an active member of the Rotary Club of Scottsdale, a member of Class 28 of Scottsdale Leadership, past president of the Financial Planning Association of Greater Phoenix, and past president of HOBY Arizona, a nonprofit focused on developing leadership within youth.
What's Happening In Washington: The Current Policy Landscape For Financial Advisers
1 hour CE
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How pending legislation and government policies could impact advisors and RIAs.
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The policy themes that are shaping the regulatory landscape.
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What advisors should keep in mind around custody, cybersecurity, ESG investing, and private funds.
Karen Barr
Karen Barr
Karen Barr is President & Chief Executive Officer of the Investment Adviser Association, the leading association advancing the interests of fiduciary investment adviser firms. The IAA serves as the voice of the investment management community on key policy issues before Congress, the SEC, DOL, and other policymakers, and provides investment advisers with essential resources, connections, and opportunities to share best practices. The IAA’s members manage more than $35 trillion in assets for individual and institutional clients. Its member firms range from global asset managers to the medium and smaller firms that make up the majority of this community. Before assuming the role of President & CEO in 2014, Karen served as the IAA’s General Counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the Association and its members.
Prior to joining the Investment Adviser Association, Karen was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients in SEC investigations, securities class action litigation, internal corporate investigations, and securities regulatory matters. Karen received her B.A. from the University of Pennsylvania and her J.D. from the University of Michigan Law School.
Complying With The RIA Marketing Rule While Leveraging Testimonials & Endorsements
1 hour CE
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The major impacts of the SEC’s Marketing Rule on advisors.
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The rules and requirements around testimonials and endorsements.
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The rules and requirements related to third-party ratings
Chris Stanley
Chris Stanley
Chris Stanley is the Founding Principal of Beach Street Legal LLC, a law practice and compliance consultancy for investment advisers and financial planners. In this role he provides legal advice and compliance counseling related to federal and state securities laws, SEC rules and regulations, RIA mergers & acquisitions, investment management compliance, RIA registration, and general corporate legal matters. Most recently he served as General Counsel for Loring Ward (now integrated into Buckingham Strategic Partners), a turnkey asset management provider headquartered in San Jose, California. He also previously served as Loring Ward's Chief Compliance Officer, as well as Chief Legal Officer and Chief Compliance Officer for the SA Funds – Investment Trust, a mutual fund family advised by Loring Ward. Chris received his J.D. and M.B.A. from Santa Clara University, and his B.A. from Boston College. He has also passed the FINRA Series 7 General Securities Representative and Series 24 General Securities Principal examinations, as well as the NASAA Series 66 examination. He is admitted to the State Bars of California, Missouri, and the District of Columbia.
Going Deeper On Taxes Compliantly: Tax Planning vs. Tax Advice
1 hour CE
In this session, advisors will learn:
- What types of Tax Advice financial advisors can’t give without being a designated tax practitioner (CPA, EA, attorney)
- What types of tax advice are allowable from a legal standpoint (but can open up liability for the advisor and their firm if there aren’t procedures to give and/or oversee tax advice to ensure it is competent and in clients’ best interests)
- How tax planning differs from tax advice, and best practices for advisors to add value with tax planning when giving tax advice isn’t an option
Ben Henry-Moreland
Ben Henry-Moreland
Ben Henry-Moreland is a Senior Financial Planning Nerd at Kitces.com, where he researches and writes for the Nerd’s Eye View blog, using his experience as a financial planner and a solo advisory firm owner to help fulfill the site’s mission of making financial advicers better and more successful. In addition to his work at Kitces.com, Ben serves clients at his RIA firm, Freelance Financial Planning.
Common Compliance Deficiencies To Avoid: Panel Of Experts
1 hour CE
In this session, advisors will learn:
- What regulators are focusing on now when they show up for examinations
- The easiest compliance issues to fix (that advisors often overlook)
- Compliance issues to be mindful of as firms add new team members
Michael Kitces
Michael Kitces
Michael is the Head of Planning Strategy at Buckingham Wealth Partners and is a passionate advocate for evolving, expanding, and institutionalizing excellence in financial planning. In addition, he is a co-founder of the XY Planning Network, the former Practitioner Editor of the Journal of Financial Planning, and the publisher of the e-newsletter The Kitces Report and the popular financial planning industry blog Nerd’s Eye View through his website www.Kitces.com, dedicated to advancing knowledge in financial planning.
Scott P. Gill
Scott P. Gill
Scott P. Gill, MBA, IACCP® is an experienced compliance consultant with a strong background in RIA and Broker-Dealer compliance. He is the Founder and CEO of Synergy RIA Compliance Solutions, a firm that provides cost-effective compliance solutions for Registered Investment Advisers. Prior to launching Synergy, Scott served as Director of Compliance and Senior Compliance Consultant for XY Planning Network, where he pioneered the design and development of a suite of compliance services – as the firm experienced 8x growth from roughly 150 firms to over 1,200 firms during his five year period of contribution.
Scott began his financial services career in 2006 as a Registered Representative with E*Trade Financial in Alpharetta, GA. He has also worked with J.P. Morgan Private Banking in Chicago; with Wells Fargo Advisors in Chapel Hill, NC; and he served as Compliance Officer for Carolinas Investment Consulting in Charlotte, NC, a dually-registered RIA and Broker-Dealer firm that managed approximately $1 billion in assets under management. He graduated from The University of North Carolina at Chapel Hill and formerly held FINRA Series 7, 63, 65, 24, 4, and 53 Licenses.
Max Schatzow
Max Schatzow
Max Schatzow is a founder and partner of RIA Lawyers LLC. He is a business-minded regulatory lawyer that always tries to put himself in the client’s position. He assists clients in all aspects of forming, registering, owning, and operating an investment adviser. He prides himself in preparing clients and their compliance programs to avert regulatory issues, but also assists clients through examinations and enforcement issues. In addition, Max assists advisers with the formation of private investment funds and their ongoing operation. In his little spare time, Max enjoys watching, playing, and coaching sports and spending time with his wife and two children.
Leila Shaver
Leila Shaver
Leila Shaver, the founder of My RIA Lawyer, is a securities lawyer who has dedicated her 10+ year career to helping independent financial advisers and firms navigate the legal complexities of the financial services world. With a comprehensive range of services, including RIA and broker-dealer registration, ongoing broker-dealer and RIA compliance, contract drafting, mergers and acquisitions, private fund set-up and more, Leila and her team are committed to providing both legal and compliance services to their clients.
Leila started My RIA Lawyer after working as an associate attorney at a law firm that did not value her and her desire to practice law her way. With a passion for the securities industry and a commitment to making a difference, Leila has built a successful business by focusing on the needs of her clients and providing personalized services.
Pricing & Sign-Up Information
August 24 | 12:00 - 6:30 PM ET
Kitces Premier Members receive 35% off the General Admission.
(Contact [email protected] to register multiple advisors at once for additional discounts!)
You MUST attend the entire 6-hour virtual event live to earn CE
Premier Members
Non-Members and Basic
Not a Member? Buy Combo for discounts.
Kitces.com Premier Membership is an annual subscription of $169 that includes Kitces Course discounts, free monthly webinars, over 100 Hours of CE on-demand, CFP ethics, and more! - Access to our entire CE Quiz library on demand.
- Access to Exclusive Kitces-written CFP Ethics CE.
- Monthly Live Office Hours session with Michael and the Kitces Team to answer your questions.
- 2/Year New + All Archived Issues Of The Kitces Report.
- Access to Archives of All Educational Webinars.
- Unlimited Access to Members Section Resources including Charts and Spreadsheets.
- IAR reporting add-on (available at checkout).
CE Reporting Requirements
Kitces will report CE on your behalf to several organizations including the CFP Board, American College, IWI, and NASAA by August 31.
(CE requirements vary for each organization)
For your CE activity to be reported:
- You must provide your certification numbers at the point of registration
- You must complete all polls presented in each program to earn CE for that program
(There are 5 unique CE-approved sessions within the event. If you do not complete all the polls for a program, you will not receive CE credit for that portion of IAR CE Day.)
Completion certificates will be emailed to attendees who satisfy the requirements above by August 31.
FAQ for IAR Ethics CE Day
Kitces IAR CE Day is designed for all advisors who want to expand their knowledge around ethics, regulations, and compliance. The event is specifically designed to satisfy the annual CE ethics requirements for NASAA and the CFP Board.
Kitces IAR CE Day will be approximately 6 hours long and will begin at 12PM ET on Thursday, August 24th. Breaks are built into the agenda approximately every hour.
Yes. Breaks are built into the agenda approximately every hour.
Kitces IAR CE Day is a virtual webinar event that will be hosted by Michael Kitces and Adam Van Deusen and will feature 7 expert presenters across 5 CE sessions.
Kitces will report CE on your behalf to several organizations including the CFP Board, American College, IWI, and NASAA. CE requirements vary for each organization.
There are 5 unique CE-approved programs within the event. You must complete all polls presented in each session to earn CE for that session. If you do not complete all the polls for a session, you will not receive CE credit for that portion of IAR CE Day.
Additionally, you must provide your certification numbers at the point of registration.
Completion certificates will be emailed to attendees who satisfy the requirements above.
The Kitces Team will automatically report CE on your behalf to NASAA, the CFP Board, the American College, and IWI, within one week of the event conclusion.
The Kitces Team will automatically report CE on your behalf to NASAA, the CFP Board, the American College, and IWI. We do not report to any state-level organizations.
Yes, you will receive a completion certificate via email within one week of the event conclusion.
You’re welcome to come and go throughout the day, and attend whichever agenda sessions interest you (Each session begins approximately at the top of the hour). However, CE will only be reported for the sessions where you engage in 100% of the associated polls. Further, the registration price provides you with access to the entire event. Pro-rated tickets are unavailable.
No. IAR CE Day is composed of 5 CE-eligible sessions. For each session that you attend, you must complete 100% of that session’s polls to earn CE credit.
You will receive a completion certificate for each session within IAR CE Day one week after the event concludes via email.
Yes. Access to a recording is included in your registration, however, CE will only be reported for the sessions you attend live on Thursday, August 24th 2023.
No. The recording is not available for sale independently. You must register for the live event to access a recording. Please note, CE will only be reported for sessions you attend live on Thursday, August 24th, 2023. Watching the recording does not earn you CE.
CE will only be reported for sessions you attend live on Thursday, August 24th, 2023. Watching the recording does not earn you CE.
Kitces Premier members receive a discount on the registration cost for Kitces IAR CE Day. Non-member tickets are $199, while Kitces Member tickets are $129.
Discounts for Kitces IAR CE Day cannot be stacked. If you are a Kitces Premier Member, you will receive the lowest price on the cost of registration by signing into the Members Section and registering for the event there.
Advisory firms that wish to purchase multiple registrations to Kitces IAR CE Day can receive a discounted bulk rate based on the number of people they wish to register. Additional discounts apply with a Kitces Premier Group Membership rate.
Advisors may receive a full refund for Kitces IAR CE Day up to the event start time at 12pm ET on Thursday, August 24th.
Become a Premier Member
Kitces.com Premier Membership includes Kitces-Courses discounts, free monthly webinars, over 100 Hours of CE on-demand, CFP ethics, and more!
Group Discounts
Discounts are available for group enrollments. Additional discounts apply with a Kitces Premier Group Membership .
