Surviving an Audit of Your Practice (California)

2019-02-13 12:00:00 2019-02-13 13:30:00 America/Los_Angeles Surviving an Audit of Your Practice (California)

California Registered financial planners and wealth managers face the prospect of a practice audit—a prospect that raises trepidation and uncertainty. Learn how local practitioners have fared the the State of California Department of Corporations audit process. Practitioners who have experienced an in-office audit and a paper audit will share:

  • communication methods of auditors;
  • the process that used to identify and gather required information;
  • the required access to complete the assessment;
  • the process of communicating deficiencies; 
  • expected resolution steps or process; 
  • steps to prepare your practice; and
  • ways to reduce stress during the process.

Panelists:

Teresa Scagliotti, CFP®, Principal, Scagliotti & Associates, has worked in the financial services industry for 24 years. She spent a very short period of time with a large insurance company but soon realized there was a lot more to this industry than just insurance. This led her to venture out and establish her own private practice while pursuing the CFP designation through the UCSC Extension program. Today her firm offers hourly financial planning to individuals and families, and risk management services for her clients as well as to clients of other financial planning firms who do not offer this service. Teresa is a former instructor in the UCSC Extension program and served as President of the local FPA of Silicon Valley for 2 years as well as on a national committee with the Financial Planning Association.

Dr. Renée Snow, Ph.D., CFP®, EA has worked as a CERTIFIED FINANCIAL PLANNER™ for the past 20 years and has combined technical expertise with psychology and philosophy in service to her clients. She earned a M.S. in Accountancy and worked 8 years for a large regional CPA firm. While at the firm, she prepared income taxes for clients and began pursuing her CFP® designation. Today, Dr. Snow manages her own firm and specializes in tax planning, asset management, and the psychological aspects of wealth management. Dr. Snow is an associate professor at Sofia University, formerly the Institute of Transpersonal Psychology, where she teaches Transpersonal Finance, Quantitative Research, and Mixed Methods Research. She is also Chair of the Personal Financial Planning Program at the University of California Santa Cruz Extension and teaches the Practicum course.

Chris Wentzien, CFP®, CPA, MBA, Principal, Natural Bridges Financial Advisors, is the founder and principal of Natural Bridges Financial Advisors. He holds a BA in Economics from the University of California at Santa Barbara and an MBA from Westminster College. Chris is a CERTIFIED FINANCIAL PLANNER™ professional and a Certified Public Accountant and Personal Financial Specialist (CPA/PFS). He is currently an instructor at the UCSC Extension Silicon Valley Personal Financial Planning Department and serves on the Board of Directors for the Alliance of Comprehensive Planners (ACP), a nationwide non-profit community for financial planners. As a former professional soccer player, Chris is one of the founders of the Santa Cruz County FC Revolution, a non-profit premier youth soccer club working with underserved children in Santa Cruz County.

UCSC Silicon Valley Extension, 3175 Bowers Ave., Santa Clara UCSC Extension Silicon Valley events@ucsc-extension.edu
Reserve your seat

   Start Date :

2/13/2019 - 12.00 PM

   End Date :

2/13/2019 - 01.30 PM

   Location :

UCSC Silicon Valley Extension, 3175 Bowers Ave., Santa Clara

   Instructors :

Cynthia Riley, Personal Financial Planning Instructor

   Cost :

0

California Registered financial planners and wealth managers face the prospect of a practice audit—a prospect that raises trepidation and uncertainty. Learn how local practitioners have fared the the State of California Department of Corporations audit process. Practitioners who have experienced an in-office audit and a paper audit will share:

  • communication methods of auditors;
  • the process that used to identify and gather required information;
  • the required access to complete the assessment;
  • the process of communicating deficiencies; 
  • expected resolution steps or process; 
  • steps to prepare your practice; and
  • ways to reduce stress during the process.

Panelists:

Teresa Scagliotti, CFP®, Principal, Scagliotti & Associates, has worked in the financial services industry for 24 years. She spent a very short period of time with a large insurance company but soon realized there was a lot more to this industry than just insurance. This led her to venture out and establish her own private practice while pursuing the CFP designation through the UCSC Extension program. Today her firm offers hourly financial planning to individuals and families, and risk management services for her clients as well as to clients of other financial planning firms who do not offer this service. Teresa is a former instructor in the UCSC Extension program and served as President of the local FPA of Silicon Valley for 2 years as well as on a national committee with the Financial Planning Association.

Dr. Renée Snow, Ph.D., CFP®, EA has worked as a CERTIFIED FINANCIAL PLANNER™ for the past 20 years and has combined technical expertise with psychology and philosophy in service to her clients. She earned a M.S. in Accountancy and worked 8 years for a large regional CPA firm. While at the firm, she prepared income taxes for clients and began pursuing her CFP® designation. Today, Dr. Snow manages her own firm and specializes in tax planning, asset management, and the psychological aspects of wealth management. Dr. Snow is an associate professor at Sofia University, formerly the Institute of Transpersonal Psychology, where she teaches Transpersonal Finance, Quantitative Research, and Mixed Methods Research. She is also Chair of the Personal Financial Planning Program at the University of California Santa Cruz Extension and teaches the Practicum course.

Chris Wentzien, CFP®, CPA, MBA, Principal, Natural Bridges Financial Advisors, is the founder and principal of Natural Bridges Financial Advisors. He holds a BA in Economics from the University of California at Santa Barbara and an MBA from Westminster College. Chris is a CERTIFIED FINANCIAL PLANNER™ professional and a Certified Public Accountant and Personal Financial Specialist (CPA/PFS). He is currently an instructor at the UCSC Extension Silicon Valley Personal Financial Planning Department and serves on the Board of Directors for the Alliance of Comprehensive Planners (ACP), a nationwide non-profit community for financial planners. As a former professional soccer player, Chris is one of the founders of the Santa Cruz County FC Revolution, a non-profit premier youth soccer club working with underserved children in Santa Cruz County.

Additional Info :

This event is restricted to Extension students and alumni, prospective Personal Financial Planning students, and members of the Financial Planning Association of Silicon Valley.

Doors open at 11 :30 a.m. for networking. A light lunch will be served. Registration badges are required and seating may limit walk-ins.

This interactive panel discussion is sponsored by the UCSC Extension Personal Financial Planning student forum group and the Financial Planning Association of Silicon Valley (FPA-SV).