Senior Investors: Unique Needs and Firm Considerations

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About This Course

This CLE program provides guidance on identifying and responding to issues and concerns of your clients who are or will soon be seniors. There are in excess of 5 million Americans suffering from dementia today with an additional diagnosis occurring every 67 seconds. On average, every advisor has approximately 7 clients with Alzheimer's. If not planned for properly, the negative financial affect can be staggering. In this session attendees will learns the signs to look for, the questions to ask and the steps to take in helping your clients understand the potential implications they may face. Panelists will share red flags for elder abuse and procedures their firms have implements if abuse is suspected. In addition, panelists will discuss lessons learned from the helpline and FINRA Rule 2165.

After attending this session, you will be able to:

  • Identify issues relevant to senior investors.
  • Understand some key best practices when handling calls from seniors with concerns or questions about their account.
  • Obtain insight into the issues that accompany a client with a diminished capacity and/or who is experiencing elder abuse.
  • Gain a general understanding of state mandatory reporting of elder abuse.
  • Learn the difference between dementia and Alzheimer's disease.
  • Protect your practice under FINRA regulations regarding diminished capacity and vulnerable clients.
  • Establish a plan for when a client is diagnosed.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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