Advisors4Advisors

This class is approved by CFP Board, IWI and NASBA as well as NASAA. Approved for NASAA IAR Ethics CE; Course  ID No. C80777.  NASAA's $3 per class filing fee is included with membership ($60/qtr.)  

Financial professionals often cite 'fit' as the most important factor in maintaining long-term client relationships, but few take the time to formally assess investor personality. This course addresses that gap using the well-established NEO Five-Factor Model, a framework used by psychologists, HR professionals, and educators to predict behavior. Advisors who understand investor personality can guide clients with greater empathy, tailor communication more effectively, and reduce emotional decision-making triggers that lead to suboptimal outcomes.

Why This Is The Best CE Course for Behavioral Finance Professionals

Unlike courses that touch lightly on risk tolerance or investor profiling, this class delivers a structured, scientifically grounded approach to personality assessment. It’s designed for CFPs, CPAs, IARs, CIMAs, and other CE-seeking professionals who want to incorporate behavioral insights directly into planning workflows. You'll learn to recognize how key personality traits—such as conscientiousness, neuroticism, and openness—manifest in investor behavior and what those traits mean for long-term portfolio guidance.

Real-World Applications

Taught by a seasoned financial counseling expert with 25-plus years of experience, the class walks you through real examples of how investor personality traits affect decision-making. You’ll explore the emotional drivers behind ultra-competitive, indecisive, and impulsive client types, and gain scripts and behavioral strategies tailored to each. From handling volatile client reactions to building long-term trust with high-agreeableness individuals, this session is packed with tools you can use immediately.

What You Learn

At this class, you’ll learn to:

Who Should Take This Course

This CE class is ideal for: 
- Investment Adviser Representatives (IARs) looking to satisfy CE requirements with real-world value 
- CFP® professionals seeking practical tools to strengthen client relationships 
- CPAs and CIMAs interested in incorporating behavioral insights into portfolio planning 
- Financial therapists and counselors looking for science-based tools to improve advisor-client fit 
Whether you're a solo practitioner or work within a larger advisory firm, this course delivers ideas you can immediately use to improve your work.

How This Course Helps You Meet CE/CPE Requirements

This program qualifies for CE credit across multiple designations, including IAR CE, CFP CE, CPA CPE, and CIMA. It’s a fast and flexible way to earn required credits while gaining powerful insights that make you a more client-aware and effective advisor. Advisors4Advisors ensures the course is regulator-compliant and suitable for on-demand or live delivery formats. Upon completion, you'll receive credit tracking and a downloadable certificate for your records.

Course Format and On-Demand Access

The class is delivered as an on-demand webinar recording, available to stream anytime. It's approximately 60 minutes in length and comes with downloadable presentation slides. You can watch the session at your own pace and revisit it as often as needed. When the live version launches later in 2025, you'll also have the opportunity to engage with the material in a live format and ask real-time questions.

Why This Course Stands Out From Other CE/CPE Options

Many CE providers offer surface-level engagement with behavioral finance concepts. This course, however, goes deeper—using one of the most rigorously tested personality models in modern psychology. By aligning your client approach with investor personality insights, you create deeper trust, fewer miscommunications, and more consistent client outcomes. If you're looking for a CE course that makes you better at both the technical and emotional aspects of advising, this is it.

How to Enroll in the Best CE Course for Understanding Investor Personality

To take the course, simply visit the Advisors4Advisors course catalog and enroll in the on-demand version. You'll get instant access to the class recording, materials, and your CE/CPE credit. You’ll also have the option to take a brief quiz to validate your learning. Start earning your CE credit while gaining tools that improve your advisory relationships for years to come.