WheelerFrost Speaking Topics

Know Your Retirement Options

2019-12-13T09:46:32-08:00Categories: Speaking Topics|Tags: , , |

How much money you will really need for a comfortable retirement and what does that mean for saving today? Which type of Retirement Plan is right for you? The benefits and differences between a 401k plan, SEP IRA, Roth IRA & Traditional IRA, and how to know which one might be a good fit for […]

Financial Planning and Ethics

2017-04-05T13:57:12-07:00Categories: Speaking Topics|Tags: , |

This presentation meets the requirements of the 2 hour Ethics CE requirements of the Board of Certified Financial Planning. Learning objectives include: learning the material elements of financial planning, demonstrating an understanding of the elements of a written plan, and defining elements of the fiduciary standard as it applies to financial planning. This program has […]

The Mockery of a “mock SEC audit”

2019-12-13T09:46:32-08:00Categories: Speaking Topics|

SEC registered investment advisers are required to conduct annual reviews of their business operations and practices. Proof of these reviews is a key item for SEC examiners. Many compliance review firms offer services to provide RIAs with professional evaluations for meeting the “annual review” requirements. In some cases, these reviews are promoted […]