Friday, January 6, 2017

2017 Firm Visits, Presentations, Consulting

Louisville, Lexington, Nashville Firms: Are You Up for a Short Visit? Each year Prof. Rhoades takes 5 to 9 of his top B.S. Finance (Financial Planning track) students to visit financial planning and investment advisory, and investment services firms. The goal of these 1-2 hour visits is to introduce the students into the types of environments in which they might work and different practice models, and to provide them with ideas on different career paths in financial services. Visits typically include a brief tour of the firm, a discussion of the firm's mission, and then either a "Day in the Life of .... (a position in the firm)" and/or "Advice for Your First Year" and/or "Q&A." In the Spring of 2017 visits will be scheduled for the following dates / locations:

  • Tuesday, Feb. 14th: Louisville, KY (visits to be scheduled after Kentuckiana meeting which lasts from 9am-1:30pm that day)
  • Thursday, March 2nd: Nashville, TN
  • Thursday, March 30th: Lexington, KY

If you can contribute and host a visit, please e-mail Prof. Rhoades: Thank you!

Meet Top Students from WKU at Upcoming Conferences/Symposia. Some of Ron's top students from Western Kentucky University's renowned Financial Planning Program (B.S. Finance) will join him at the following conferences and symposia. Hope to see you there!

Scheduled 2017 Presentations.  Join Prof. Ron A. Rhoades as he presents at the following conferences/symposia in 2017:
Desire a Speaker? To inquire about Ron speaking at your conference, symposium, or FPA Chapter meeting, please contact him at: Ron's suggested presentation topics for 2017:
  • Due Diligence for IRA Rollovers under SEC, FINRA and DOL Scrutiny
  • The Prudent Investor Rule: Exploring Its (Tough) Duties
  • Fiduciary Due Diligence: Investment Strategy and Investment Product Selection
Consulting Engagements. Ron also undertakes consulting to broker-dealers / RIA firms on compliance with the DOL Conflict of Interest (Fiduciary) regulations, including whether to utilize the Best Interests Contract Exemption, determining reasonableness of fees, and due diligence requirements under the DOL rules.

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