Expert-Led Instruction

Learn from a NASAA-approved instructor with 20 years of hands-on RIA compliance and regulatory experience—not just theory, but real-world insights you can apply immediately.

NASAA-Approved Courses

Meet your annual 12-credit requirement with courses approved by NASAA and accepted in all states that have adopted the Model Rule for Investment Adviser Representatives.

Practical and Relevant Content

Go beyond checkbox compliance with courses designed specifically for IARs—covering Products & Practice and Ethics & Professional Responsibility with examples from actual advisory practices.

About the course

This continuing education course provides investment advisory representatives (IARs) with a comprehensive framework for understanding and implementing investment strategies that meet diverse client needs. The course covers fundamental investment theories including Modern Portfolio Theory, Capital Asset Pricing Model, and Efficient Market Hypothesis, as well as practical applications in portfolio management and risk assessment. Participants will learn to construct diversified portfolios using systematic asset allocation methodologies, evaluate risk-return tradeoffs, and apply both strategic and tactical investment approaches based on client circumstances. The one-hour course also addresses emerging trends such as alternative investments, behavioral finance principles, and the use of technology in investment decision-making.

Curriculum

5 Chapters · 6 Lessons

  1. 1

    Course Description

    1. (Included in full purchase)

      Course Description

  2. 2

    Course Learning Objectives

    1. (Included in full purchase)

      Learning Objectives

  3. 3

    Investment Strategy Basics (Module 1)

    1. (Included in full purchase)

      Investment Strategy Basics (Module 1)

  4. 4

    Course Assessment

    1. (Included in full purchase)

      Course Assessment Instructions

    2. (Included in full purchase)

      Course Assessment - Investment Strategy Basics (Module 1)

  5. 5

    Course Survey and Feedback

    1. (Included in full purchase)

      Course Survey - Investment Strategy Basics for IARs (Module 1)

When clients ask about your investment approach, are you ready to answer? Enroll now and gain the knowledge to guide portfolios with confidence.

Enroll now and build your investment strategy toolkit.

$14.95

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