What licenses are CE credits earned at The Financial Advisor Symposium eligible for?

• CFP - The Financial Advisor Symposium has been approved for a total of 16.5 CE credits by the CFP Board of Standards. Please see below for the list of sessions with CE credits approved.
• ChFC - According to the PACE Recertification of the American College, Society of Financial Service Professionals.

What courses are NOT eligible for CE credits (for CFP, CLU, ChFC, RHU, REBC licensees only)?

Courses on public accounting, computer hardware/software, marketing, practice management, sales, or specific company or product presentations are not eligible for CE credits.

Can I earn CE credits towards my CPA state license renewal?

Each state has its own requirements for CE credits eligibility. Because of The Financial Advisor Symposium audience's national composition and our staffing constraints, we are unable to research each state's criteria and apply for CE credits to each of the 50 states.

Can I earn CE credits towards my Series 7, Series 63, or other securities license renewal?

No, you cannot. The NASD, in conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, administers a two-part mandatory Continuing Education Program. The program consists of a Regulatory Element and a Firm Element. The Regulatory Element requires all registered persons to take computer-based training in industry rules and regulations on the second anniversary of their initial securities registration and every three years thereafter. The Firm Element requires broker/dealers to keep their "covered persons"—employees who deal with customers and their supervisors—up to date on job- and product-related subjects by way of an annual firm-developed and administered training program.

Why aren't programs at The Financial Advisor Symposium eligible for state insurance license CE credits?

CE credits for state license renewals are only awarded for courses whose subject matter will increase technical knowledge of insurance principles, coverages, laws, and regulations.

How many CE credits can I earn for CFP Licensees by attending The Financial Advisor Symposium?

Below is a list of all sessions at The Financial Advisor Symposium, which have been approved for CE credits by the CFP Board of Standards. If you attend ALL of the sessions with the highest CE credits available, the maximum number of CE credits you can possibly earn is 16.5.

Monday, November 9, 8:30 am – 11:30 am
Powerful Strategies for Managing Money with ETFs*
(3.5 CE Credits)
*Ticket Required

Monday, November 9, 9:00 am – 12:00 pm
Morningstar Stock Valuation 101*
(3 CE Credits)
*Ticket Required

Monday, November 9, 9:30 am – 12:30 pm
Senior Suitability: Regulations, Problems, and Solutions*
(3 General CE Credits or 2 Code of Ethics Credits)
*Ticket Required

Monday, November 9, 2:30 pm – 3:30 pm
Bill Bachrach: How to Build and Maintain Client Trust Through All Economic Cycles
(1 CE Credit)

Monday, November 9, 3:30 pm – 4:30 pm
Gary Shilling: How to Make Money in Tough Times
(1 CE Credit)

Tuesday, November 10, 9:45 am – 11:00 am
(Pick one from the following workshop/panel discussions; each is eligible for 1.5 CEU. Drop your CEU Voucher in the box inside the room to receive credit.)

• Managed Futures in Client Portfolios
• Reaching Out to Clients in Tough Times
• Opportunities in Fixed-Income

Tuesday, November 10, 11:15 am – 12:30 pm
(Pick one from the following workshop/panel discussions; each is eligible for 1.5 CEU. Drop your CEU Voucher in the box inside the room to receive credit.)

• Maximizing Performance Through Indexing
• Global Investing: Where Do We Go from Here?
• Lessons from Advisors Who Dodged the Bullet

Tuesday, November 10, 1:45 pm – 3:00 pm
(Pick one from the following workshop/panel discussions; each is eligible for 1.5 CEU. Drop your CEU Voucher in the box inside the room to receive credit.)

• The Effect of New and Proposed Regulations on Investment Advisors
• Marketing Yourself in a Post-Madoff World
• Specialized ETFs: Strategies & Tactics

Tuesday, November 10, 4:00 pm – 5:00 pm
Ned Davis: Foundations of a Super-Cycle or Secular Lows?
(1 CE Credit)

Wednesday, November 11, 8:00 am – 8:50 am
An Introduction to Closed-End Funds
(1 CE Credit)

Wednesday, November 11, 9:00 am – 10:15 am
(Pick one from the following workshop/panel discussions; each is eligible for 1.5 CEU. Drop your CEU Voucher in the box inside the room to receive credit.)

• Growing Opportunities in Green Investing
• Converting Prospects into Clients
• Rethinking Asset Allocation

Wednesday, November 11, 11:30 am – 12:30 pm
(Pick one from the following workshop/panel discussions; each is eligible for 1.5 CEU. Drop your CEU Voucher in the box inside the room to receive credit.)

• Bridging the Gap: Retirement Fund Shortfalls
• Variable Annuities in the New Era of Regulation
• MPT: Staying the Course with No Apologies

Wednesday, November 11, 12:45 pm – 1:45 pm
Don Phillips’ All-Star Fund Managers Panel
(1 CE Credit)

Wednesday, November 11, 2:00 pm – 3:00 pm
Steve Forbes: The Economic Recovery—How Vigorous Will It Really Be?
(1 CE Credit).

How do I register to receive CE credits for CFP Licensees?

When you register (by phone, online, or onsite), you will need to provide your CFP number in order for us to submit your CE credits following the Symposium (see "How do I submit the CE credits I've earned to the CFP Board?" below).

What is the procedure for registering attendance for CE credits eligibility for CFP Licensees at The Financial Advisor Symposium?

1. Bring the confirmation packet that you will receive in the mail approximately two weeks before the Symposium to The Financial Advisor Symposium Registration Desk when you arrive at the hotel.

2.Symposium staff will give you a badge holder, lanyard, registration bag with conference materials, and CE credit vouchers.

3.For CE-eligible sessions, you will need to drop your CE credit voucher, which you received at the Registration Desk, in the box after you enter that specific workshop room to record your attendance for that session. You have to follow this procedure for each CE-eligible session that you attend.

4.Certificates of Completion are included in your registration bag—you'll need to fill in the details of the sessions that you attended and keep the certificate for your records.

How are credits reported for CFP Licensees?

The Financial Advisor Symposium is responsible for reporting the number of CE credits you've earned to the CFP Board of Standards for approval. The CFP Board of Standards also requires us to keep a record of CE credits earned for four years, in case you are ever audited.

If necessary, how do I submit the CE credits I've earned to the CFP Board directly?

All CFP licensees must complete 30 hours of continuing education (CE) each reporting period. The reporting period is a two-year period ending the last day of the CFP licensee's renewal month. You should add the credits you've earned at The Financial Advisor Symposium to the other credits you've been accumulating during the reporting period and keep track of them for your records. Keep your Certificate of Completion or Attendance for all conferences, seminars, or classes you've attended for four years afterwards.