Course Description
Focuses on the expansion and application of knowledge acquired in Wealth Management I. Students develop an understanding of the knowledge, tasks, and regulatory environment required of an investment advisor, develop an understanding of the rules that regulate job functions of an advisor, and create portfolios using asset allocation models.
Athena Title
Wealth Management II
Prerequisite
FHCE 4200 or HACE 4200
Semester Course Offered
Offered spring
Grading System
A - F (Traditional)
Course Objectives
(1) Evaluate a client’s financial situation, tax status, and investment objectives. (2) Learn how to open investment accounts, transfer assets, and manage investment records of clients. (3) Understand the importance of Investment Policy Statements and learn how to develop these statements and make recommendations to clients. (4) Learn how to analyze, rebalance, and evaluate client portfolios across time.
Topical Outline
Review of equity and debt-related securities Taxation of federal, state, and municipal securities Money market instruments Research and interpretation of the macroeconomic environment Derivative markets Options Futures Mutual funds, exchange trade funds, and master limited partnerships (MLPs) Annuities Management of customer accounts Investments within tax-advantaged accounts Portfolio recommendations and review Security rules and regulations
Syllabus