4142  |  On Demand  |  Intermediate  |  Self-Study

Investment Planning Process

Friday, May 1, 2020 - Friday, April 30, 2021

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Investing is often thought of as a high-risk activity by those not familiar with the investment process. Yet, risk can be managed through the investment planning process.

Updated for the Tax Cuts and Jobs Act of 2017, this two-part course covers investing as a process and the professional environment. Narrated by Tom Tillery, this course examines the three phases of investment planning engagements:

Planning Implementation Monitoring and updating In addition, the Statement on Standards in PFP Services (SSPFPS) No. 1, which provides the authoritative guidance and establishes enforceable standards for CPA's and AICPA members who provide investment planning services, will be discussed and explained in this course.


Recall the required elements of a compensation disclosure. Identify the source of authoritative guidance and enforceable standards for CPAs and AICPA members who provide investment planning services. Recognize which organizations and individuals are exempt from registration as an investment adviser. Determine what information is required to appear on the Form ADV Recall the appropriate disclosure for a registered investment adviser. Determine when registration with the Financial Industry Regulatory Authority Is required.


  • Thomas Tillery (view bio)
  • Susan Tillery

Designed For

CPAs and financial planners with basic knowledge of, and interest in, personal financial planning.


The Investment Process Regulatory Environment Professional Responsibilities

Your Price: $99.00

This is your base price and does not reflect any additional session fees, optional add-ons, or guest registrations.

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Thomas Tillery

Thomas Tillery is a member of AICPA Personal Financial Planning Section (Non-CPA Associate), the Society of Financial Service Professionals, and the Atlanta Estate Planning Council.

Tom has been a provider of Continuing Education for attorneys, CPAs, and investment and insurance professionals for over 20 years. He has written curriculum and lectured in the discipline of Financial Planning for several universities and on line programs.

Tom is also an Arbitrator for the Financial Industry Regulatory Authority (FINRA).

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