* Updated 2024 *


Principles of Wealth Management examines the financial planning discipline, including its need, as evidenced by the U.S. poverty rate, the U.S. savings rate, the lack of financial retirement readiness and the ever-increasing cost of higher education.

The course details the principal steps in developing a financial plan, the critical issues in managing and protecting wealth, the products and concepts available to implement wealth management objectives and their tax treatment.

CPE Acceptance


CPE Course For:

CPAs in most states (chart)
Other Professionals (chart)

Not Valid For:

Tax Preparer

Not sure?  Contact us!

Online Course Materials

Fully online PDF materials included in course.

Login to your course to read online / print / save to local drive

Materials include:

  • Clickable table of contents
  • Learning objectives--each section
  • Review questions--each section
  • Answers to review questions + explanations
  • Glossary of terms used
  • Worksheets, forms and examples
  • Index with page numbers

* Fully searchable *


Fun CPE Course #: PWX4124
Materials: Online materials
Format: Interactive self-study
Subject: Advisory Services
Exam questions:  Final-50 multiple choice
Document length: 198 pages
Passing score: 70% | Unlimited retakes
Prerequisites: None
Advance prep: None
Course level: Overview
Last reviewed/updated: 01/01/24
Expiration: One year from enrollment

Learning objectives

Upon completion of this course, an adviser should be able to:

  • Discuss the evidence indicating the need for comprehensive financial planning;
  • Recognize the steps in developing a client’s financial plan;
  • Describe the critical issues in managing wealth;
  • Identify the principal products and concepts available to Implement and facilitate wealth management objectives; and
  • Apply the principles of wealth management to improve the financial situation of clients.