Course Quick Facts

  • Course Length: 1 hour

  • Field(s) of Study:

  • Finance (1.0 CPE credits)

  • Portfolio Development & Analysis (XXX CFP credits)

  • Course Level: Beginner

  • Prerequisites: None

What We'll Cover...

Building an investment portfolio is a tough job. You have to balance the client’s financial goals with their personal financial situation and risk tolerance. This all starts with an investment policy statement (IPS). However, what does a good IPS look like? What does it consist of? And how has portfolio management changed in more recent times? Through case studies and real-world examples, we will explore how to create IPSs for clients, as well as how portfolio management has evolved over time.

  • Identify the core parts to an investment policy statement

  • Recall the difference between actual and perceived ability to take on risk

  • Recognize key findings in safe withdrawal rate (SWR) research

Instructor

CPA, CPCU, MST, MBA

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 Compare.com - 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

    Introduction

  • 2

    Downloads

    • Downloads
  • 3

    Lecture

    • Segment #1
  • 4

    Participation

    • Knowledge Check #1
  • 5

    Lecture

    • Segment #2
  • 6

    Participation

    • Knowledge Check #2
  • 7

    Lecture

    • Segment #3
  • 8

    Participation

    • Knowledge Check #3
  • 9

    Lecture

    • Segment #4
  • 10

    Qualified Assessment

    • Qualified Assessment
  • 11

    Feedback

    • 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 www.ceteraadvisornetworks.com. 

     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