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Course Criteria
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3.00 Credits
Analyzes the management of the operations of banks, savings and loans, credit unions and other lending institutions. Topics include the banking industry, firm organizational structure, the legal and regulatory environment, performance analysis, services and financial statements, constraints on management decisions, and marketing strategies. Prerequisite: FI 203 (or FI 100) or FI 300A.
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3.00 Credits
Introduces the broad scope of financial planning as it relates to personal goals/values, as well as its role in the financial services industry. Topics include careers in financial services, management of personal financial statements, time-value-of-money analysis, calculator/computer applications, insurance, social security, housebuying strategies, investments, retirement planning, income tax and estate planning. Satisfies part of the educational requirements to sit for the CFP
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3.00 Credits
Investigates the investment process from the perspective of the individual investor. Typically, such investors have small portfolios and must work with lower-quality information, greater time constraints, and less-sophisticated analytical skills than their institutional counterparts. This course will discuss approaches and techniques that enable individual investors to build and manage portfolios that offer returns commensurate with their risks. Familiarity with the universe of securities, the mechanics of trading, the many and varied sources of investment information, and with the vocabulary of investing will be emphasized. Satisfies part of the educational requirements to sit for the CFPThis course is not open to students who have completed FI 340.
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3.00 Credits
Strategies used by financial planners to help clients assess employee benefits and to reduce the tax burden while planning for retirement. Topics include: retirement needs analysis, defined benefit and contribution plans; profit sharing; 401k; 403b; ESOP; IRA; SEPIRA; Roth-IRA; Keogh; TSA; social security benefits and integration; vesting; employee benefits analysis; funding vehicles; plan installation and administration; asset balancing; buy-sell agreements, ERISA; stock redemption and cross-purchase plans; evaluation of retirement timing; life-cycle planning, retirement lifestyle issues, distribution planning, and post-retirement financial and qualitative assessment of needs. Satisfies part of the educational requirements to sit for the CFPACCTG 108A), or consent of the department.
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3.00 Credits
Strategies used by financial planners to help clients achieve greater tax efficiency. Topics include income tax concepts and calculations, income tax research methods, gross income realization, exclusions and deductions, passive activities, alternative minimum tax, tax considerations of business forms, taxable and nontaxable property transactions, compensation planning, family tax planning, audit risk and dealing with the IRS. Satisfies part of the requirements to sit for the CFP
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3.00 Credits
Introduces estate planning tools and strategies to assist a client in developing, maintaining and transferring his/her wealth consistent with objectives. Topics include professional role differentiation between financial advisers, CPAs, and estate-planning attorneys; writing disclaimers in a financial plan; gift and estate taxation; ownership of personal and real property issues; wills; letter of last instructions; trusts; trustees/personal representatives and their fiduciary responsibilities; probate strategies; implications for individuals; general/limited partnerships; closely held businesses; corporations; life insurance funding; post-mortem planning; creative estate planning strategies consistent with client goals and values; charitable giving strategies; California estate planning issues; and how to implement and monitor the estate plan. Satisfies part of the educational requirements to sit for the CFP
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3.00 Credits
Surveys valuation and financial planning methods and strategies for closely held businesses for a broad range of purposes. Topics include financial statement and ratio trends and analyses; economics industry and comparable company analyses; research techniques for obtaining company, industry and economic information; income and cash-flow valuation and planning methods vs. balance sheet valuation; owner's interests as they relate to control, compensation, profit sharing, taxes and fringe benefits; and related estate-planning issues. Prerequisite: FI 203 (or FI 100) or FI 300A.
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3.00 Credits
Presents a qualitatively oriented approach for financial services professionals (e.g., in investments, banking, financial and estate planning, real estate, insurance, consulting and accounting) wanting to develop greater business development skills in attracting and maintaining clients. Topics include seven habits of highly effective professionals, principle-centered professionalism and ethics, client assessment, helping clients make financial decisions, negotiating, financial sales and practices, ethical and professional issues, and professional presentations.
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3.00 Credits
Uses case studies that apply financial planning principles to strategic personal wealth management for advising clients in the comprehensive financial and estate-planning approach. Topics include: integrating and balancing client needs with financial products and strategies, update on taxation and new financial products, writing a comprehensive financial plan, presenting the plan, implementing the plan, providing periodic review, professional literature and resources, qualitative client factors and analysis, financial counseling techniques, and computer resources. Prerequisites: FI 420, FI 421, FI 422, FI 425, FI 426 and FI 483.
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3.00 Credits
A practicum is defined as "A course, especially one in a specialized field of study, that is designed to give students supervised practical application of previously studied theory." Through this Practicum you will learn to work with clients in determining their needs and developing appropriate financial planning recommendations. It is designed to help you make the transition from the learning phase of your career to the actual practice of financial planning. At the heart of this process is an opportunity to work with experienced mentors as you develop a comprehensive financial plan for a real client. And while classroom time will include lectures, expert panels, and guest speakers, significant time will also be devoted to role-playing exercises and critiques intended to prepare you for your client discovery and plan presentation meetings. Prerequisites: FI 420, FI 421, FI 422, FI 425, FI 426, and FI 483. Alternatively, completion of a course of study that qualifies you to sit for the CFP Board's comprehensive exam, or passage of the CFP? exam, with the consent of the program director.
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