Advisors4Advisors

Approved for 1 credit by CFP Board, IWI, NASBA and by NASAAA. This class was approved for NASAA credit August 27, 2025.  

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 and define client personality traits. Advisors who understand client personality traits can guide clients with greater empathy, tailor communication more effectively, and reduce emotional decision-making that often leads to suboptimal outcomes.

What You Learn

At this class, you’ll learn to:

How This Course Helps You Meet CE/CPE Requirements

This series of classes about financial counseling in the past has qualified for CE credit across multiple designations, including IAR CE, CFP CE, CPA CPE, and CIMA. That can cut the time you spend on CE and CPE in 50% or more, makes this a fast way to earn required credits while gaining powerful insights that make you a more client-aware and effective advisor. Advisors4Advisors ensures the class is regulator-compliant and suitable for live delivery. Upon completion, you'll receive credit tracking information and a downloadable certificate for your records. 85% of advisors gave our classes five star ratings so far in 2025, and  12% rated classes between with 4- and 4.9-stars.    

Why This Is Among The Best CE About Financial Planning Psychology 

Unlike courses that touch lightly on risk tolerance or investor profiling, this class delivers a structured, scientifically grounded approach to personality assessment. You 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. It’s designed for CFPs, CPAs, IARs, CIMAs, and other CE-seeking professionals who want to incorporate a personality assessment into client relationships. The NEO assessment takes about an hour for clients to complete and is used to understand a client's investor personality as well as compatibility with you.      

Real-World 

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 explore the emotional drivers behind ultra-competitive, indecisive, and impulsive client types, and gain scripts and 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.

Course Format 

This class is delivered live.  It's approximately 60 minutes in length and comes with downloadable presentation slides. The class is also offered on-demand, so members of Advisors4Advisors can replay the session anytime at their own pace and revisit it as often as needed.  

Why This Course Stands Out From Other CE/CPE Options

This class goes deep—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. AI makes technical knowledge less important and people skills more important. If you're looking for a CE course that makes you better at communicating with people, this is it. 

The Class Assessment

For CFP, CIMA, CPA and many other designations, you are not required to pass an exam to earn credit for live webinars.  CPAs must submit answers to three polls during live classes, but they are unscored. IARs must also respond to at least one of the polls, ensuring they meet NASAA engagement exercise requirement.   

Learning Experience

The left-side menu of every class must be completed:

1. Instructions
2. 60-minute video     
3.  Three polls for CPAs and IARs
4.  Satisfaction survey  

Who Should Attend

CFPs, EAs, CFAs, CPA financial planners, CPA/PFSs, CIMAs, CLUs, ChFCs, and other professionals who seek a deeper understanding of their clients' personality traits, investor personality characteristics, and how to best communicate with them. 

Cost:
Free to Advisors4Advisors members ($60/Qtr.)

Prerequisites: None
Advanced Preparation: None
Course Level: Update
Course Delivery Method: Live
Field of study: Ethics  
Advisors4Advisors is approved as a professional education provider by:

• CFP Board, which regulates CE for Certified Financial Planners.  
• North American Securities Administrators Association. NASAA does not endorse any particular provider of CPE courses. The content of the course and any views expressed are those of the instructor and do not necessarily reflect the views of NASAA or any of its member jurisdictions.  
• National Association of State Boards of Accountancy (NASBA) as a Quality Assurance Service (QAS) Self-Study Provider, enabling CPA CPE credit live and on-demand webinars. State boards of accountancy retain final authority on course acceptance. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors at www.nasbaregistry.org. 
• Investments & Wealth Institute, enabling credit for CFP®, CIMA®, and CPWA® professionals. 

This class was submitted to NASAA for ethics credit on July 16, 2025. It was approved and given an ID number August 27 and is expected to begin to appear in your FinPro account in early September.  

For information on administrative policies, such as refunds, cancellations and complaints, email [email protected]