Financial Advisory Roles, Licensing & Client Protection Guide
A comprehensive 2-hour public and professional training course demystifying financial advisor roles, FINRA/NASAA/Texas licenses, Fiduciary vs. Reg BI rules, why ordinary clients should always consult a licensed advisor, and how practicing advisors avoid the Top 10 compliance mistakes. Co-authored by Warren Premier Financial Advisory & Compliance Group.
“Sarah is a seasoned CPA with over 12 years of experience specializing in corporate tax planning, federal and state compliance, and multi-state tax strategies for fast-growing startups.”
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Lessons & Chapters
1. Who's Who in Financial Advice: Roles Explained Simply
Cut through Wall Street jargon with the 'Doctor vs. Pharmacist' analogy. Understand Fee-Only RIAs, Stockbrokers, Insurance Agents, and Hybrid Advisors.
2. Decoding the Licenses: SIE, Series 6, 7, 63, 65, 66 & Insurance
Learn what every exam number actually means, what products each license unlocks, and how to avoid the CFP®/CFA® registration trap.
3. The Rules That Protect You: Fiduciary Duty vs. Reg BI & Disclosures
Understand the two legal standards of care in plain English and learn how to read Form CRS and Form ADV Part 2A/2B in 5 minutes.
4. Why Ordinary Clients Should Always Consult a Licensed Advisor
See why relying on unlicensed social media 'finfluencers' can destroy a family's nest egg—and how to verify a licensed advisor in 60 seconds.
5. The Advisor's Field Guide: Avoiding Top 10 Practice Mistakes
A practical compliance playbook for practicing financial advisors: how to avoid the 10 most common—and heavily fined—violations in daily practice.
6. Texas Special Protections & Safe AI Practice with Fin-Pal
Master Texas-specific laws under the TSSB and TDI—including the Mandatory 5-Day Vulnerable Adult Hold & Report Law—and learn how Fin-Pal's AI guardrails protect your practice.
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