training and education guide

Education & Training CatalogYour Guide to Advisor Group’s

Education and Training Offerings

For Broker-Dealer Use Only. Not for Public Distribution.

March 2012

At Advisor Group, you can focus on maintaining and building your business with comprehensive, value-added education and training programs. We offer a stimulating variety of seminars, academies, workshops, eForums, coaching, and other programs that provide functional training as well as practice management coursework.

Featuring topical, relevant subject matter taught by respected industry leaders, our course selection is vast and continually expanding. Learn about sales strategies and processes used by top financial advisors, get information on marketing to a more affluent clientele, and access the latest trends in delivering services to clients. We know you’re busy, so there’s a diverse selection of on- and off-site, live, recorded, online, and interactive media that you can access according to your schedule.

Table of ContentsClassroom Programs . . . . . . . . . . . . . . . . . . . . . 1

Recorded Online Sessions . . . . . . . . . . . . . . . . . 4

Compliance/Supervision Training . . . . . . . . . . . 13

Additional Training Opportunities . . . . . . . . . . . 14

Miscellaneous Online Courses . . . . . . . . . . . . . 17

Technology Training This two-and-one-half-day course of live classroom instruction is designed for an administrative assistant, advisor or FLS/ME affiliated with the Advisor Group broker-dealers whose business is brokerage, non-brokerage or fee-based. The class provides the practical, hands-on training needed to help streamline and simplify daily tasks. Attendees will receive instruction on how to navigate through the integrated online platforms of VISION2020 Advisor Portal, VISION2020 Wealth Management®, OneView, NetX360®, and Salesforce.

Topics include:

> Systems Overview> Advisor Portal Navigation and Features> Client Central> Client & Account Management> eForms Library> OneView> Transaction Review> ServiceNet/MyNotifications

> NetX360® Navigation and Features, Account Management and Customization, Trading, and Items for Attention

> Salesforce; Using the calendar, Creating and Managing Tasks, Creating and Managing Clients/Prospects and Contacts, and Creating Reports and Viewing Dashboards

Optional:

Document Management

> Features and Benefits> Retrieval of Documents> Indexing & Routing

Wealth Management Platform

> Overview> Researching Products> Building Models> Creating Proposals & Accounts> Trading> Reports

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Classroom Programs

Note: Many of these sessions are also available in the online Recorded Library.

To enroll in Technology Training or Financial Services Assistant Training (FSAT), go to the Advisor Portal > Training & Events. Under Classroom Training, click on the session you would like to attend, then complete and submit the online registration form.

Financial Services Assistant TrainingThis course is designed to meet the needs of licensed and unlicensed financial services assistants through live, hands-on classroom instruction and supplemental pre- and post-online self-study. The workshop will explore the systems, concepts, and tasks used to successfully process business activities. These lessons will help assistants more fully understand systems and office tasks and skills. Optionally, after the first two days of live sessions you can attend supplemental classroom sessions also geared toward assistants that cover Salesforce and/or our Document Management System.

Topics include:

> Advisor Portal Overview> Client Central Overview, Creating Clients and

Accounts, and Paperwork and Supervision> eForms> Account Transfers> Cash Management> Investment Transfer Forms> OneView> Personality Profiles

> Compliant Assistant/Branch Office Files> NetX360® Navigation and Features, Account

Management and Customization, Trading, and Items for Attention

> MyNotifications/My Subscriptions> Transaction Review/TRS> Time Management Skills

Optional:

> Salesforce: Overview, Calendar and Meetings, Creating Tasks, Client Management and Reports

> Document Management: System Overview, Retrieval of Documents, Indexing and Advanced Features

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Note: Many of these sessions are also available in the online Recorded Library.

To enroll in Technology Training or Financial Services Assistant Training (FSAT), go to the Advisor Portal > Training & Events. Under Classroom Training, click on the session you would like to attend, then complete and submit the online registration form.

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Advisor PortalOverview for Administrative SupportIn this session you will learn the many features and benefits of Advisor Portal, including navigation, search features and new client and account functions.

Duration: 60 minutes

Overview for AdvisorsIn this session you will learn the many features and benefits of Advisor Portal, including navigation, search features and new client and account functions.


Blottering Checks and SecuritiesThis session explains how to blotter Checks and Securities by using the Advisor Portal. The session explains how to make entries to the log, how to edit and delete entries, and how to run the “Checks and Securities Log” report.


Blottering Non-Brokerage BusinessThis session will explain the process for blottering non-brokerage trades into the Advisor Portal. This is a required process for certain variable annuity trades, as well as for transactions in products that do not feed into the OneView system. This session will explain when trades must be blottered, and how to do so.


Client CentralThis session will focus on the features and benefits of the system. You will learn the step-by-step process to create a client and open an account. In addition you will learn how to view client account documents.


Client ManagementThis session provides you with a high level overview of the various features and functions available within Client Management.


Creating Investment Transfer (IT) FormsThis session will explain the process for creating Investment Transfer forms. These forms are required to be delivered to clients when certain types of transactions occur. The session explains when the forms are required — including common exceptions — as well as how to create the forms in Advisor Portal. The session will also explain how you can retrieve blank IT forms, and how to use the Pending Certification report for maximum efficiency.


Login Authentication ProcessIn this session you will learn how to authenticate your VISION2020 Advisor Portal User ID and Password. This process includes steps to select your SiteKey Image/Phrase and Security Questions. In addition, you will learn how to change your password and/or security questions and what to do in the event you lock your password.


My NotificationsThe My Notifications system enables you to be quickly notified when important actions affect your client accounts. Alerts are customizable: they can be turned on/off and can be sent to various email locations of your choosing.


Online sessions can be accessed from the Advisor Portal. Click on Training & Events > Filter Events by Delivery Method > Online (Recorded), then select the session you would like to play back.

Recorded Online Sessions

My ProfileIn this session you will learn how to view and update your Profile information using “My Profile” in VISION2020 Advisor Portal. You will also learn how to upload a photo to be displayed on the Dashboard.


ServiceNetIn this session we will discuss key features of ServiceNet including: how to create a service request for the home office, how to view processing notes entered by the home office and how to escalate a ticket.


AdvisorMailEmail Supervision TrainingAdvisorMail is the firm’s system for email review and supervision. The session covers basic system access and usage instructions, what an FLS should look for, and what follow up actions should be taken while reviewing email communications sent or received by their advisors and affiliated persons in the office.


Annuity Intelligence Annuity Intelligence is a tool consisting of four detailed reports to help you become familiar with variable annuity contracts specific to the needs of your clients.

Report OverviewThis short video contains an overview of the Annuity Intelligence Report.

Duration: 5 minutes

Contract SelectorScreen Partner contracts based on specified criteria, including: base contract expenses, years of CDSC, bonus, minimum premium, type of living benefit, and type of death benefit. You can also link to single or side-by-side contract comparisons.

Duration: 2 minutes

Single Contract ReportProvides you with details specific to the variable annuity you select from a list and gives you the ability to look up older contracts to obtain generic information on existing contracts.

Duration: 3 minutes

Side-by-Side Report Allows you to compare up to three variable annuity contracts at one time and allows you to filter the contract list based on specific criteria, including carrier, benefit type and share class.

Duration: 3 minutes

Brokerage AccountsAccount TransfersThis session demonstrates the process for initiat-ing different types of account transfers of clients’ assets into Pershing. This class includes discussion on ACAT, Non-ACAT, and mutual fund transfers and will review the proper documentation to complete an account transfer. Finally, locate where you can view the current status of your account transfers.


Retirement AccountsLearn about the available qualified retirement plans offered through Pershing. Identify the differences between each account and how to establish each type.


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Cost Basis Reporting RequirementsNFSJoin us to learn the new Cost Basis regulations that became effective January 1, 2011. In this session you will discover the impact of these changes as they relate to corporate stocks as well as the sys-tem changes to accommodate the new guidelines.


PershingJoin us to learn the new Cost Basis regulations that became effective January 1, 2011. In this session you will discover the impact of these changes as they relate to corporate stocks as well as the system changes to accommodate the new guidelines.


Document ManagementNew User OverviewAre you a new Document Management user? Or are you thinking of subscribing to Document Management and would like to learn more about the system? Our Document Management System is an integrated solution within Advisor Portal that satisfies all SEC/FINRA requirements regarding electronic storage of your paper documents. Document Management offers advisors an industry compliant system which delivers a full-featured document imaging, management and workflow solution. Attend this Document Management overview session to learn more about the system features and benefits.


Add and Edit Client FoldersThis session explains adding and editing client folders within Document Management, including how folders are organized, available folders, and how to create new client folders and sub-folders.


Administration Management: Advisor AccessIntended for advanced Document Management Capture and Processing personnel onlyThis session explains how to set User Access within the Administration Management of VISION2020 Advisor Portal’s Document Management system, including how to give user access of unindexed documents, partially indexed documents, non broker-dealer business, and confidential documents. NOTE: Document Retrievers and Viewers do not have the necessary system access required to perform these functions.

Duration: 6 minutes

Advanced User Best Practices and Q&AAre you a current subscriber to Document Management looking for in-depth best practice training? Join Docupace and the Home Office for this one hour session to learn best practice tips for using barcode methods and the system. This session also includes a forum for question and answers submitted by users.


Filing CabinetsThis session explains the “Filing Cabinets” within VISION2020 Advisor Portal’s Document Manage-ment system, including: how documents are organized and indexed, available indexing folders, and how to create sub-folders.



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FLS Principal ReviewThis session explains the FLS Principal Review features within Document Management, including: the procedure to index a document to send to the FLS, how to retrieve routed documents needing FLS approval, the steps an FLS completes to approve documents, and the available reports.

Duration: 8 minutes

Logs and ReportsThis session explains the Logs and Reports features within Document Management, including the proper technique to index checks, securities, and documents to which you have applied a signature guarantee stamp.


Retrieving DocumentsAccess this session to better understand the retrieval process and options. You will learn about retrieval page features, review content folder structure, and discover how to search for content. The session will include using search preferences, combining multiple documents for viewing, and searching for a specific document or date range of documents.


Routing Docs to Back OfficeThis session explains the process of routing documents to the back office from Document Management, including: the purpose of flagging documents to the back office, the steps to submit documents to the back office, and identifying documents that can be submitted to the back office.


eForms LibraryOverviewJoin us to learn about the integration of the eForms library and eSignature feature. Discover how this service uses client information stored in Client Central to quickly and easily complete forms in the following groups: Broker-Dealer forms, Pershing forms, Insurance Sponsors, Mutual Fund Sponsors and Registered Investment Advisory Sponsors. The electronic forms library, featuring more than 15,000 forms, is being provided by our business partner, Laser App.


eForms Library with eSignatureThis session explains Advisor Office Automation using the eForms Library with eSignature, including completing eForms, applying an eSignature, and understanding policies and procedures to use eSignature.


Forefield Marketing LibraryNote: All Forefield classes last between three and eight minutes.

Advisor Tutorial: OverviewThis session provides an overview tutorial for Advisors using Forefield. Forefield is the industry’s leading provider of marketing content for financial advisors to effectively market and communicate with clients and prospects.

CE TutorialThis session provides a tutorial on earning CE credits using Forefield.

Email Tracking TutorialThis session provides a tutorial for Email Tracking using Forefield.


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My Clients Import TutorialThis session provides a tutorial for the “My Clients Import” using Forefield.

My Clients TutorialThis session provides a tutorial for “My Clients” using Forefield.

My Profile TutorialThis session provides a tutorial for “My Profile” using Forefield.

My Templates TutorialThis session provides a tutorial for “My Templates” using Forefield.

Newsletter TutorialThis session provides a tutorial for Newsletters using Forefield.

Print TutorialThis session provides a tutorial for Printing in Forefield.

Seminars TutorialThis session provides a tutorial on using the seminars available in Forefield.

Sending Email TutorialThis session demonstrates how to send materials via email using Forefield.

Set and Forget TutorialThis session provides a tutorial for the “Set and Forget” feature in Forefield.

Three-Step Set-Up TutorialThis session provides a tutorial on setting up access to Forefield.

Web Resources Links TutorialThis session provides a tutorial for the Web Resources Links in Forefield.

Web Resources Options TutorialThis session provides a tutorial for the Web Resources Options in Forefield.

Web Resources Widgets TutorialThis session provides a tutorial for the Web Resources Widgets in Forefield.

NetX360®

OverviewCome join us to learn about Pershing’s NetX360® platform. This overview session will cover the features and benefits of the system. We will discuss key enhancements and functionality including navigation of the most commonly used functions. In addition, you will be provided a Contact List, and a list of additional training opportunities and resources available to you as you learn the different facets of the system.


Account ManagementLearn how to find activity, balances, and holdings information for your brokerage accounts. Discover where to locate projected earnings in an account as well as how to access client documents. View all this information for a specific account or for your en-tire book of brokerage business. Learn how to use the multi-tab screens to better navigate the system.


Asset Movement Processing: Checks RequestsDiscover how to input a request to journal assets between and within retail brokerage accounts, issue checks, and request fed fund wires using NetX360®. In addition, find out how to follow up on the status of your request using the work status tool.


CustomizationDiscover the features and benefits that NetX360® can bring to your business. In addition, discover the numerous ways of customizing the screens of NetX360® to enable easier viewing of client information for your brokerage accounts.

Learn how to adjust the settings within the program, which can help boost your productivity. We will navigate through the system and understand features including client groups, “My Diary,” and the use of hotkeys. This class will teach you how to quickly set up your system to fit your business needs and quickly navigate through NetX360®.


Items for Attention (IFA)Learn how Items for Attention in NetX360® can benefit your business. Discover how to view items such as incoming account transfers, required minimum distributions, and corporate actions.


Trading and QuotesLearn how to conduct stock, mutual fund and options trades using the enhanced NetX360® system. Discover the benefits of enhanced trading screens, which include real-time balances, margin balances and orders. See how to view critical order entry information in a consolidated format and

color-coded, order read-back screens. In addition, learn how to create and utilize quote tracks and additional market data.


OneViewCashEdge AllData in OneViewThis comprehensive training tool walks you through the CashEdge AllData set up process, providing you with detailed information on both the advisor and investor experience, from registration to viewing the new aggregated reports.


Client Reports and Batch JobsLearn how to display and print various reports for the client as well as how to create batch jobs.


First Time Users ChecklistIdentify what steps should be taken to prepare for optimal performance of the OneView system.


NavigationDiscover how to navigate through the system to review information about clients and their accounts.


Rep ReportsGain knowledge of several reports that are available to the rep regarding the performance of the client account(s).



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Systems Overview: Advisor Portal and NetX360®

OverviewThis session will provide you with an overview of the main technology interfaces, NetX360® and VISION2020 Advisor Portal. We will discuss the features and benefits of each system. In addition, we will identify and discuss features of the technology systems accessible from the VISION2020 Advisor Portal such as Client Central, OneView, Office Automation Suite, and Forefield Marketing Library.


Transaction Review PreparationThis session will describe the Transaction Review Preparation system, which must be examined daily to clear items out of the work queue. The work queue will contain any trades that have incomplete information on file, or that are linked to clients and accounts missing data.


Transaction Review SupervisionIn this session, First Line Supervisors will learn how to view transactions for all Advisors under their supervision. The process for reviewing, approving and rejecting transactions will be covered. In addi-tion, the FLS will learn how to generate reports to determine rule compliance and overall performance of the branch.


VISION2020 AdvisorReport OptionsThis session will demonstrate the reporting feature on the VISION2020 Advisor platform. The reporting package has been designed to provide advisors with a series of comprehensive and easy to use tools to assist with practice management and client service. This includes a sales report, advisory fee reports (at the client-level as well as the advisor level), an enhanced QPR archive, a billing statement archive, and a combined account holdings report.


VISION2020 Advisor: Client Groups, Portfolios, Fee Schedules & BillingDiscover the steps for setting up client groups as well as individual clients in VISION2020 Advisor. We will cover the procedures for setting up billing and fee schedules as well as how to use Portfolios.


Wealth Management PlatformAccessing the Wealth Management PlatformLearn how to access the Wealth Management platform and get familiar with the Home page.

Duration: 1 minute

Overview of the Wealth Management Platform WorkflowThis module will take you through an overview of the Wealth Management Platform workflow. It will show you the tasks that need to be completed in order to process business on the platform.

Duration: 4 minutes

Available ProgramsThis module provides an overview of the managed-account programs that are available in the Wealth Management platform and how they differ from each other.

Duration: 6 minutes

Creating AccountsThe Wealth Management platform works hand-in-hand with Client Central to make creating accounts a breeze. This module will teach you how to create your accounts.

Duration: 1 minute

Creating ClientsThis module will show you how to create clients on the Wealth Management platform. Once a client has been created, you can then create proposals and accounts.

Duration: 2 minutes

Creating ProposalsGet step-by-step instructions on creating proposals. After you’ve completed this simple five-step pro-cess, you can then establish accounts for the client.


Creating Service RequestsThis module will provide you with step-by-step instructions for submitting Service Requests for your Wealth Management accounts. This includes requests to raise cash, initiate or change system-atic withdrawals, change investments, harvest tax gains or losses, and more.

Duration: 3 minutes

Creating Unified Managed Account (UMA) ModelsBefore establishing Unified Managed Accounts (UMAs), first build UMA models by following the simple steps described in this module.

Duration: 7 minutes

Researching ProductsMany products are available through the Wealth Management platform. Learn how to access the Research section to find information quickly and easily.

Duration: 7 minutes

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Compliance/Supervision Training

* To access these courses, go to www.reged.com/advisorgroup.

First Line Supervisor TrainingCompliance is an important component of the financial industry. Whether you are a new FLS or would like a refresher on your roles and responsibilities, this session focuses on the supervisory aspects of the job for those supervising advisors. For the purpose of this training session, the First Line Supervisor refers to someone who has a Series 24 license, supervises registered advisors, and takes on all of the responsibilities of the Office of Supervisory Jurisdiction.

Topics include:

• General Supervision

• Transaction Review

• Outside Business Activities

• Annual Practice Review

• Investment Advisory

• Variable Annuities

• Communications with the Public

Leveraged ETFs: Basics and the Cost of Misuse*The purpose of this course is to describe the hazards of holding leveraged funds as long-term investments.

Modern Variable Annuity Contract Benefits*This course discusses the various features of the products that may be selected and how they operate. Suitability, risk, and other sales practice issues are also covered, as are FINRA rules spe-cifically applicable to customer communications about variable annuities. Tax treatment of variable annuities is reviewed both from the perspective of qualified versus non-qualified annuities, and from the perspective of the client.

Non-Traded REITs*This course is an overview of Non-traded REITs addressing suitability, types of REITs, fees, tax treatment, and primary benefits and risks.

Preparing for a Branch Office ExamDiscover best practices for organizing your office and preparing for a Branch Office Exam.


Social Media Training*This course has been designed to give you an overview of the Firm’s policy regarding the use of social media. Completing this course is one of several requirements needed for you to engage in the use of social media for your securities business.

Structured Products: More Innovation, More Regulation*This course discusses structured products, which reached the market in the 1980s, but did not see much popularity until the 1990s. At that time, the purchasers of structured products were mainly institutional investors. Now, however, as financial services firms are continuing the quest for greater returns for their customers, it seems that a new structured product is born every day. As a result, more and more retail investors are purchasing structured products. This course focuses mainly on the obligations FINRA has highlighted in NTM 05-59, so that salespersons may be in tune with regulators’ positions on structured products.

Variable Annuity Pre-Approval Process TrainingThis training focuses on the firm’s new workflow with respect to FINRA Rule 2821. This training is not mandatory, but highly recommended.


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Additional Training Opportunities

Advisor Business Academy (ABA)The ABA meetings were created for the sole purpose of adding value to your business. Designed to deliver in-depth information on building and growing a successful advisory practice, the Academies also provide an opportunity for advisors to fulfill their annual compliance meeting (ACM) requirement. Over the course of a day-and-a-half, each meeting will feature enlightening keynote speakers on topics relevant to the economy, portfolio management, and practice management; in-depth advisor panels focused on best practices; President’s panels with senior leadership; technology updates; and the invaluable opportunity to exchange ideas with fellow advisors and select product partners.

Exclusive CoachingExclusive Coaching offers power systems and customized advice to manage and grow your business to greatness. Participants learn to manage and market their business more efficiently and effectively. The Exclusive Coaching Program is a one-year coaching program from Million Dollar Producer, one of the industry’s most successful coaches for advisors who operate high-level practices. Participants will benefit from the special emphasis on systematizing all aspects of client management and the focus on tax, estate and wealth planning techniques and will learn how to build a lasting, successful franchise of recurring fee-based Financial Planning business.

Financial Planning Fast TrackFinancial Planning Fast Track (FPFT) is an on-site accelerated educational program, offered in conjunction with the Metropolitan State College of Denver, which prepares you to take the exami-nation for the CERTIFIED FINANCIAL PLANNER™ designation in just seven months. The curriculum addresses the six financial planning subject areas that satisfy the education component of the CFP® process. Successfully completing FPFT

satisfies the education component of the CFP process and thoroughly prepares you to sit for the CFP exam. Once you have successfully satisfied all of the requirements, you may become licensed by the Certified Financial Planner Board of Standards.

Case Study eForumsThese quarterly online sessions address the many high-level and complicated financial planning situations you may encounter when working with clients. These two-hour (Level 300) sessions feature an interactive format and qualify for CFP continuing education credits. Topics include retirement, employee benefits, estate planning, investments, income tax, insurance, small business owners, divorce and much more. These sessions are also recorded for playback.

Duration: 2 hour classes held 6 times per year

CFP® EthicsThese quarterly online sessions offer those holding the Certified Financial Planner™ designation the opportunity to fulfill the CFP Board’s two-hour Code of Ethics Continuing Education requirement.

Duration: 2 hours

New Technology Rollout and Enhancement Training Additional live and recorded technology sessions are offered when the firm introduces new enhance-ments and technology systems. Duration: Varies

ConnectED (Formerly the National Education Conference (NEC))This annual event is our cornerstone educational and networking conference: a one-stop source to fulfill continuing education requirements, develop your business strategy and network with other suc-cessful independent financial advisors. ConnectED offers the opportunity to sharpen your business insight in a variety of areas, including sales and marketing, technology, operations, financial

planning, business management and development, investment products, and compliance and regula-tory procedures. This is accomplished through an extensive conference curriculum taught by industry and subject matter experts. The conference curricu-lum is carefully crafted to keep pace with industry trends, best practices, policy changes and new products. Attend workshops, meet home office staff and sponsors, renew friendships and establish new relationships... ConnectED offers something for everyone.

Regional Business MeetingAdvisor Group’s Regional Business Meetings (RBM) are half-day sessions designed to assist advisors in growing their businesses while fulfilling their Annual Compliance Meeting (ACM) requirement. To this end, the meetings provide a fast-paced learning experience which includes power- house keynote speakers, innovative business development strategies, and a terrific opportunity to network with your peers, management, and key sponsor representatives. The RBMs are offered in many cities throughout the United States.

Speak to the Expert eForumsSpeak to the Expert eForums are live, web-based presentations conducted by industry experts and sponsored by our partners. During these sessions, participants are encouraged to interact with the guest speaker. These eForums are offered monthly and often qualify for continuing education credits. These sessions are also recorded for playback.

Duration: Varies

Women’s ConferenceThe Women’s Conference brings together women throughout our network to share industry knowledge and best practices, and to recognize their achievements as outstanding advisors. Sharpen your skills and explore new ideas for building your business through innovative strategies for managing client expectations, retaining clients, recruiting, and continuing to grow. Our most recent keynote speakers included Lisa Ling, journalist, international women’s rights advocate, author, and host of television’s “Our America,” and Maddy Dychtwald, author and expert on women’s demographics and the co-founder of Age Wave — the nation’s foremost thought leader on aging and its impact on our society.

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Business EtiquetteLearn to function in a variety of business situations with the utmost of professionalism. Come join us to discover the art of projecting a poised, self-confident image in today’s demanding business atmosphere. We will discuss good manners including how to make a good first and last impression, how to display courtesy on the telephone, and how to make conversation.


Business WritingDo you want to become skilled at written business communications? Do you want to know how and when to use e-mail effectively? Are you interested in learning how to avoid using unnecessary words and becoming proficient at using words that accurately communicate your message? Could discovering methods for handling large volumes of e-mail improve your practice? If you answered “yes” to any of these questions, please join us for this informative session!


Four Generations in the WorkforceThis is the first time that we have had a workforce comprised of four different generations. Why is this important to you? Working with each generation takes skill as each has different motivations, characteristics and professional goals. Join us to define the different generations, identify their unique motivations and objectives, and learn how to interact with each generation to ensure an effec-tive, productive, and positive work environment.


Managing Chaos: Time Management SkillsYou’re faced with deadlines, preparing reports, client needs, phone calls and emails... Then, the unexpected happens and the scramble is on! Learn how to get and keep control of projects, daily priorities and critical deadlines. We will discuss how to set goals to keep your day on track and avoid productivity killers, discover tips on organizing your space and day, and understand how to identify and work with your stress triggers.


Overview of the Financial IndustryThis session provides an explanation of the roles of the SEC, FINRA, the Federal Reserve and the NYSE in supervising the securities industry.


Miscellaneous Online Courses

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AG-1-ET-0312-W

Securities and investment advisory services offered through FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc. and Woodbury Financial Services, Inc., Registered Investment Advisors and members FINRA/SIPC. Advisor Group is a marketing designation.

One World Financial Center 15th Floor New York, NY 10281