National Guardianship Association, Inc.
National Guardianship Association, Inc.
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174 Crestview Drive, Bellefonte, PA 16823-8516
Toll Free: 877-326-5992
Email: info@guardianship.org
 
What Guardians Need to Know About Financial Services
1.5 credit hour(s) of continuing education from the Center for Guardianship Certification.
About the Course

A professional fiduciary is sometimes reticent to accept clients with substantial investment portfolios, as he or she is intimidated by the prospect of fulfilling the responsibility of monitoring the investment portfolio. Perhaps even more worrisome, he or she may worry about finding a financial advisor who understands how to comply with fiduciary investment law and who he or she simply feels can be trusted. This webinar will help you overcome that challenge by teaching you how to find a knowledgeable advisor and by helping you understand how the financial industry operates.

Attendees will acquire tools for evaluating the ethical standards of a financial advisor. They will understand the potential conflict of interest between the "suitability standard" that applies to the brokerage industry versus the much higher fiduciary standard that applies to fiduciaries and registered investment advisors. They will learn how to interview financial advisors and identify those with the knowledge and competence to manage fiduciary portfolios in compliance with the laws regulating fiduciary investing. They will understand the difference between the advisor they work with, his or her broker/dealer, and the "custodial firm" that may hold the person’s assets.

About the Presenters

Lee H. Anke is an SEC-registered investment advisor (RIA) and has been counseling investment clients since 1977, specializing in developing and managing Modern-Portfolio-Theory portfolios to comply with the UPIA and in servicing the needs of both public and private fiduciaries. He has managed PIN’s premier discipline, the "PIN Conservative Portfolio" since 2001. He developed and teaches Management of the Investment Portfolio, one of five classes comprising the Professional Fiduciary Management for Trustees curriculum at the California State University at Fullerton. Lee has served as an expert witness in the San Diego, Los Angeles, Riverside and El Dorado County Courts in California; also in the Las Vegas NV and Pima County AZ courts on matters including suitability of investments under state probate codes, compliance with the Uniform Prudent Investor Act (UPIA) and fiduciary abuse.

Ted H. Ong has been an investment professional since 1983. He is an SEC-registered Investment Advisor specializing in servicing the needs of both public and private fiduciaries. In order to better service clients, Ted also retains dual licensing as a Registered Representative subject to FINRA supervision. He teaches classes and round tables at annual conventions of the National Guardianship Association, the Professional Fiduciary Association of California (PFAC), the Florida State Guardianship Association, the Texas Guardianship Association, the Arizona Fiduciaries Association, the Washington Association of Public Guardians, and the California Public Administrators Public Guardians and Public Conservators Association. He also serves as a consultant to the San Diego Fiduciary Abuse Specialist Team (FAST).

How do Recorded Webinars Work?
  1. Complete a printable or online order form for the webinar of your choice.
  2. Via email, you will receive a link that will be live for two weeks with purchase of the series, or one week with purchase of a single module. Click the link and take the course. Please allow 7 business days for processing of orders with study materials and 2 business days for orders with recording only.
  3. Follow the instructions in your email to verify your participation and receive a certificate of attendance.

Please order a recorded webinar only when you have time to view it. Once the link is sent to you, you have only one week (single module) to view it before the link is closed. We cannot accommodate extensions for recorded webinars.

Order Recorded Webinar
NGA reserves the right to cancel the course and refund payment if enrollment does not meet minimum requirements by November 11.
Fee:
  Discounted rates apply only to current NGA members and up to three employees of NGA’s organizational members.
Membership in a state association does not qualify for NGA member rate.
 
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Our Federal ID #: 36-3591860
Various credit cards accepted.