Course Quick Facts

  • Course Length: XXX

  • CPE Hours: 2.0 NASBA

  • 2.0 CFP

  • 2.0 IRS

  • Course Level: Overview

  • Field(s) of Study: Finance (NASBA), Qualified plan rules and options (CFP), Federal Taxes (IRS)

  • Who should attend: CPAs and financial advisors who want to know more about the taxation and how to plan with qualified plans

  • Required Knowledge: Fundamentals of retirement plans

  • Advanced Prep: None

Learning Objectives

Having sufficient assets to live a comfortable and secure retirement is one of the concerns that many people face. This concern cannot be resolved without having a solid retirement plan. In this course, we will discuss the foundation of most people’s retirement planning – qualified plans. We will discuss the types of qualified plans, how they are taxed, and when they might be useful to clients. Through discussion and real-world examples, we will explore the RMD rules and when a distribution may qualify for an exception.

  • Recall key differences between qualified and non-qualified plans

  • Identify situations where it is better to use Roth Retirement Plans vs. Traditional Retirement Plans

  • Recognize key differences between SEPs and SIMPLE plans

  • Recognize when one might use a backdoor Roth IRA conversion

  • Recall early distribution penalties & exceptions

  • Determine key considerations for setting up a retirement plan for a company



David Peters

David Peters is the Founder and Owner of Peters Tax Preparation & Consulting in Richmond, VA. He has over fourteen years of experience in financial services, including 3 years in the hedge fund industry and six years in the insurance industry. David was the first-ever Chief Financial Officer at - a position he held for over three years. He is a national CPE Instructor/Discussion Leader for the AICPA, Surgent, and Kaplan. He regularly teaches courses in accounting, finance, insurance, and ethics throughout the United States. He holds four Masters degrees. He contributes regularly to various CPA publications, including NCACPA’s Interim Report, SCACPA’s CPA Report, and VSCPA’s Disclosures. He was also a co-author of the 2018 Virginia CPA Ethics course – a required course for all CPA’s licensed in the Commonwealth of Virginia.

Course curriculum

  • 1


  • 2


    • Downloads

  • 3


    • [SEGMENT 1 HERE]

  • 4


    • Knowledge Check 1

  • 5


    • [SEGMENT 2 HERE]

  • 6


    • Knowledge Check 2

  • 7


    • [SEGMENT 3]

  • 8


    • Knowledge Check 3

  • 9


    • [SEGMENT 4 HERE]

  • 10


    • Knowledge Check 4

  • 11


    • [SEGMENT 5]

  • 12


    • Knowledge Check 5

  • 13


    • [SEGMENT 6 HERE]

  • 14


    • Knowledge Check

  • 15


    • Segment 7

  • 16

    Qualified Assessment

    • Qualified Assessment

  • 17


    • Final Steps to Receive CE Credit(s)...

    • CE Credit Information

    • Thank You!

Single Course Price

     Securities offered through Cetera Advisor Networks LLC, member FINRA/SIPC. Advisory services offered through Carroll Financial Associates, Inc., a Registered Investment Adviser. Carroll Financial and Cetera are not affiliated. Carroll Financial and Cetera are under separate ownership from any other named entity. 

     This site is published for residents of the United States only. Registered Representatives of Cetera Advisor Networks LLC may only conduct business with residents of the states and/or jurisdictions in which they are properly registered. Not all of the products and services referenced on this site may be available in every state and through every advisor listed. For additional information please contact the advisor(s) listed on the site, visit the Cetera Advisor Networks LLC site at

     Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services. Tax services are provided by Peters Tax Preparation & Consulting, PC and are not provided by Cetera Advisor Networks or Carroll Financial.

David Peters Financial

Mail to: 8005-C, #129, Creighton Pkwy #129, Mechanicsville, VA 23111

1657 West Broad Street, #5, Richmond, VA 23220