FP-Canada approved for 1 CE credit

The FP Canada CE Credit logo and QAFP marks are trademarks of FP Canada. CFP®, CERTIFIED FINANCIAL PLANNER® and are certification trademarks owned outside the U.S. by Financial Planning Standards Board Ltd. (FPSB). FP Canada is the marks licensing authority for the CFP marks in Canada, through agreement with FPSB. 

Course Description

Financial advisors usually deal with retail clients and the branch or investment company level. They provide one on one support to the client. They establish a relationship, collect data, analyze the data and give recommendations for achieving the client objectives. This course elaborates the steps to maintain a positive relationship with the clients and walks though the financial planning process. It provides a list of the information that should be gathered from the client. It helps to understand the process for the financial planning house.  The life cycle hypothesis provides a guideline for the types of discussions that should be undertaken at certain stages of the client’s life. Ethics and the advisor’s standard of conduct are reviewed. 

The second part of the course reviews the key concepts when a financial advisor works with an institutional client. The sell side and buy side of the market are reviewed in detail. Various careers in finance are described. Some concepts such as direct electronic access, axe sheets, merchant banking, prime brokerage, high frequency trading, dark pools, equity trading services, program trading, structured finance and futures and options trading are described. 


Students must pass the final exam before a certificate will be issued.  

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Lead LLQP Instructor

Professor Adam (Aizad) Ahmad, MBA, MSc, LLQP

Earning his MBA in the UK, Adam holds many professional designations in finance to include: CSC, BCO, IFIC, LLQP, PFP, CPH, Real Estate and more.  Starting his career working for large financial institutions like Sun Life, Edward Jones, Scotiabank, and others, Adam followed his passion for education and moved on to teach life insurance and other financial certifications at various colleges in Ontario.

Now at PNC Learning, Adam helps us with our instructional design and LLQP pre-licensing and CE training.

Course curriculum

  • 1

    Video

    • FP Canada Disclaimer

    • Working With Retail & Institutional Clients Video

  • 2

    Quiz

    • Working With Retail & Institutional Clients Quiz