WELCOME GUIDE 2015 - The Retirement Advisor University

WELCOME GUIDE 2015
FIRST STEPS
Towards your C(k)P® Designation
The Certified 401(k) Professional Designation
The Retirement Advisor University
In collaboration with
UCLA Anderson School of Management Executive Education
Table of Contents
Welcome Letter........................................................................................ 2
Meet Your Executive Director....................................................................3
About TRAU............................................................................................. 4
Checklist for the C(k)P® Designation........................................................5
Pre-Course Work & Action Steps..............................................................6
Course Details..........................................................................................7
Identity Guidelines....................................................................................14
MyTRAU Guide.........................................................................................15
Logistics.....................................................................................................20
UCLA Map.................................................................................................22
UCLA Anderson School of Management Executive Education.................................24
Hotel Palomar............................................................................................25
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Contact Information....................................................................................26
TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Welcome Letter
Fred Barstein
Founder & CEO, TRAU
Dear New C(k)P® Candidate,
On behalf of The Retirement Advisor University (TRAU) in collaboration with UCLA
Anderson School of Management Executive Education and the C(k)P Board of
Standards we congratulate you on your decision to enroll and begin training for
your C(k)P® designation. The focused curriculum that you will experience can be
the stepping stone to a rewarding career where you help individuals to be well
prepared for retirement, and enhance your present practice.
TRAU is the first retirement planning certification program offered in collaboration
with a nationally recognized institution of higher learning. We hope that you
will benefit by earning a certification that has real meaning to plan sponsor,
participants, clients, prospects, and the retirement industry as a whole.
We encourage you to visit our website www.TRAUniversity.com regularly for news,
updates, and to be an active member in the TRAU community. Your instructors
and I are looking forward to meeting you during the campus session. This guide
is designed to provide you with information you will need in the program and we
recommend that you review it throughly.
Sincerely,
Fred Barstein
Founder & CEO
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Meet Your Executive Director
Steff C. Chalk
Executive Director, TRAU
Steff C. Chalk is the Executive Director of The Retirement Advisor University in collaboration with UCLA
Anderson School of Management Executive Education. Mr. Chalk is CEO of Fiduciary Consulting and
Governance Group, Inc. and founder of CHALK Advisory Board, Inc. Since 1995 CHALK Advisory Board
has served in a fiduciary capacity to over $12 billion of retirement plan assets.
Mr. Chalk’s client list has included corporations, non-profits and governmental units. CHALK Advisory
Board, Inc. has conducted original research for the Chilean Pension System, the Finance Ministry of
Kuwait, the Central Bank of Egypt and has worked with the policy-makers of the Turkish Self-funded
Retirement System. He currently serves on the Leadership Council of the National Association of Plan
Advisors. Mr. Chalk has been recognized by 401(k) Wire as one of the 300 Most Influential Advisors in
Defined Contributions.
“Mr. Chalk is a co-author of “How to Build a Successful 401(k) Retirement Plan Advisory Business.”
Steff Chalk
Executive Director
TRAU
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
About The Retirement Advisor University
About TRAU
TRAU®, The Retirement Advisor University in collaboration with UCLA Anderson School
of Management Executive Education is the first retirement planning certification program
associated with a nationally recognized institution of higher learning. Participating advisors
and wholesalers can benefit by earning certification that has real meaning to plan sponsor
clients, prospects, and the retirement industry as a whole.
The Retirement Advisor University in collaboration with UCLA Anderson Executive Education
Curriculum is a combination of on-site classes at the UCLA campus, virtual classroom courses
E-Learning and self study. By combining world class professors with retirement industry leaders
TRAU has created the most comprehensive retirement training program in America for financial
advisors.
Individuals attending TRAU®, are instructed by both World Class faculty members, and some of
the most accomplished financial advisors in the retirement plan industry. This approach combines
the academic excellence and the practical applicability needed to produce a highly skilled and
knowledgeable retirement plan advisor.
Recognizing that access to a skilled retirement advisor is becoming increasingly critical to the
average American, The Retirement Advisor University has been designed to empower financial
advisors with the skill sets they need to assist their clients in retiring successfully.
Development:
The Retirement Advisor University is designed to provide executive education and certification for
financial advisors and other professionals in the retirement industry. The program and its curriculum
are developed in accordance with core goals, competencies, and purposes identified by TRAU. The
curriculum content is designed with the goal of empowering financial advisors to help companies
and individuals prepare for a successful retirement.
TRAU Partners and Contributors:
UCLA Anderson Executive Education:
A leader in executive education since 1954, the school offers more than 40 programs, including open
enrollment programs that focus on leadership, general and functional management, and strategic
vision, as well as custom programs designed in collaboration with leading organizations to meet their
specific business objectives.
Knowledge Anywhere:
Knowledge Anywhere provides the Learning Management System (LMS) for TRAU. The firm
provides learning and performance support solutions and consulting to organizations around the
globe. Knowledge Anywhere implements solutions ranging from Web-based learning solutions to
context-sensitive help systems on state of-the-art medical instruments. Their customers represent
a variety of industries including medical, telecommunication, technology, manufacturing, distribution
and finance.
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Checklist for the C(k)P® Designation
*Step 1: Register for the Session on the TRAU website at www.TRAUniversity.com
Step 2: Enroll in Group Study Session (Optional, but recommended)
*Step 3: Pay non-refundable initial payment of $1,000 for a specific TRAU program towards the full
tuition cost of $5,450 to obtain access to Learning Management System (LMS).
If you do not gain access to the LMS after paying non-refundable deposit of $1,000 within 24 hours of
payment please contact D.J. Koehne:
[email protected]
855.755.4015 Ext. 103
*Step 4: Pay remaining tuition balance of $4,450 prior to attending the TRAU Campus Session.
a. Personally pay remaining tuition balance
OR
b. If you have Support from Providers, please provide the firm name, contact name, phone number, email address, and the amount of Support to Elizabeth Youngs (855-755-4015 ext. 121 or
[email protected])
*Step 5: Login to MyTRAU to access LMS via your computer and complete Level 1 coursework
a. Complete all Level 1 modules
OR
b. Complete the Level 1 Test Out Exam
*Step 6: Check that you have the current TRAU 2014 Welcome Guide (www.TRAUniversity.com)
*Step 7: Complete Birkman Questionnaire (You will receive approximately 2-3 weeks prior to Campus Session)
Step 8: Complete TRAU Campus Exam (Taken on campus during TRAU session at UCLA via your computer)
Step 9: Complete Levels 2 & 3 LMS modules
OR
a. Complete all Levels 2 & 3 coursework online
b. Attend Group Study Session (Covers Levels 2 & 3 coursework in a group setting)
Step 10: Complete and pass TRAU C(k)P Designation Exam via your computer
* Required prior to attending TRAU Session at UCLA
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Best User Experience
Pre-Course Work & Action Steps
We encourage you to begin working through the online courses prior to your session date. While
you may attend the campus session having completed only the minimum of required courses, the
best user experience will be to complete all of the online courses available prior to attending the
UCLA session. You will find step by step instructions on taking the online courses later in this guide.
Pre-campus Course Work
Complete Prior to Attending
Course-Work:
At a minimum, complete Level 1 courses in
MyTRAU Account Online.
(Completion of all courses listed on the LMS is preferred):
TRAU attendees are required to either complete all
Level 1 courses or pass the level 1 test out exam.
Birkman Instrument:
You will receive links for the Birkman Profile by email.
This link will be sent to (the email on record)
approximately 25 to 30 days prior to program.
Please complete the Birkman Questionnaire (Everyone).
If you have not received the Birkman Questionnaire,
please search in your spam or trash folders. Consider
providing an alternative email address to TRAU, if you
have been unable to receive emails from unfamiliar
sources.
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Best User Experience
1. Apply
2. Enroll & Pay Tuition
3. Level 1 (Complete a or b)
a. Complete Online Modules
b. Complete Level 1 Test-out
4. Complete Birkman Questionnaire
5. Levels 2 & 3 (Complete a or b)
a. Complete Online Modules
b. Attend Group Study Session
6. Attend TRAU at UCLA, Anderson
7. Campus Exam
8. C(k)P® Designation Exam
TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
TECHNICAL COMPETENCE
Course Detail
OP-215 Creating Fiduciary Training for Plan Sponsor Trustees
Instructor: Robert Rafter,
Director of Business Development,
The Retirement Learning Center
Course Overview:
This course provides the context for understanding both the Regulatory environment and U.S
Court cases of defined contribution plans and the contemporary issues which impact today’s
retirement plan industry.
Learning Outcomes:
• Identify which provisions of ERISA have the most impact on retirement plans
• Explain the importance of meeting fiduciary responsibility to plan sponsors
• Outcomes defined by the U.S. Courts as it relates to qualified retirement plans
TC-221 Introduction to 401(k) Ethos
Instructor: Donald Trone,
CEO,
3Ethos
Course Overview:
This course serves as an introduction to 401(k) Ethos. Ethos is the link between 3 elements:
leadership behaviors; core values; and, a decision-making process research demonstrates that
all great organizations and individuals have a well-defined ethos.
Learning Outcomes:
• Understand the elements of an ethos and how they can be used to define the differences
between good and great retirement advisors;
• Define the dimensions of a uniform fiduciary standard; and
• Be able to apply the dimensions of a uniform fiduciary standard to the retirement planning
process.
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
TECHNICAL COMPETENCE
Course Detail
TC-211 Regulatory TRENDS & Update
Instructor: John Carl,
President,
The Retirement Learning Center
Course Overview:
This course examines important regulatory changes recently made and in progress. It provides an
update on the recent happenings in Washington DC. Topics may include the State of the Union
address, lack of retirement savings, target date funds, and many other current issues, proposed
solutions and their expected effects are covered.
Learning Outcomes:
• Describe the scope and effect of new regulations
• Identify current issues in the retirement plan industry
• Identify the potential positive and negative effects of proposed solutions
TC-325 Discovering The New Alpha In The DC Market
Instructor: Fred Barstein,
Founder & CEO,
The Retirement Advisor University
Course Overview:
The landscape of the retirement plan business is both complex and dynamic. This course provides
an overview of how advisors, providers, academics, regulatory agencies and plan sponsors can
work together to produce better results for all involved.
Learning Outcomes:
• Identify key factors and developments shaping the retirement industry
• Explain strategies to partner with providers, academics and regulators for improved results
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
MANAGEMENT & BUSINESS
Course Detail
MB-203 Building Strong Brands In Financial Services
Instructor: Sanjay Sood,
Associate Professor, Marketing,
UCLA
Course Overview:
Some of the best companies have differentiated themselves and created direct value for their
enterprises and customers through strong brands. In this session you’ll explore some of the
factors that matter in branding financial services.
Learning Outcomes:
• Define and understand what is brand equity
• Conceptualize and understand brand equity
• Identify steps in brand building
MB-223 Managerial & Small Business Accounting
Instructor: Eric Sussman,
Lecturer,
UCLA Anderson School of Management
Course Overview:
Examination of financial statements and tax liabilities of firms. Introduction to key issues facing corporate
financial decision makers, including making capital budgeting and investment decisions, designing
capital structure of firms, minimizing agency costs and costs of financial distress, role of financial
innovation, capital markets, and valuation Familiarizes the manager with functions of account by
focusing on use of external financial reports for evaluating corporate performance and use of
accounting information of internal planning and control.
Learning Outcomes:
• Recognize the value of accounting in financial management
• Read various financial statements
• Recognize common signs indicating potential problems on financial statements
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
MANAGEMENT & BUSINESS
Course Detail
MB-300 Leadership: The Birkman Method
Instructor: Kelly Bean,
Assistant Dean,
UCLA Anderson Executive Education
Course Overview:
The Birkman Method Assessment is a leadership and personal development tool that assumes
leaders perform better when they are acutely aware of their own behaviors and needs (and
those of their teams) and how those behaviors and needs impact others. The reports contain
information on usual behaviors, needs and underlying motivation, and usual stress behaviors
exhibited when needs aren’t met. The report also includes insight into dominant styles of
approach to problem solving and other life situations, perceptual filters, styles of communication,
etc. Participants will be encouraged to think about their style of approach within their organization
- What difference your style makes, what are the potential road blocks, etc.
Learning Outcomes:
• Discover your interests, behaviors, motivational needs, and reactions under stress
• Identify how individuals and work-units approach communication, conflict, and decision
making
• Determine your “effective or productive” behaviors, needs or motivations, and unproductive
behaviors
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
OPTIMIZING PLAN OUTCOMES
Course Detail
OP-232 Behavioral Finance: Decisions Under Risk & Uncertainty
Instructor: Craig Fox,
Professor of Policy, UCLA
Anderson & Professor of Psychology, UCLA
Course Overview:
This session provides an introduction to behavioral economics and psychology of investor decision
making. We will examine common biases of investors, analysts, and portfolio managers and
discuss how to avoid them. Key topics include:
- How do people behave in the face of risk and uncertainty?
- In what ways is this behavior irrational?
- How does this affect investment decisions?
- How can savvy investors avoid falling prey to these biases?
Learning Outcomes:
• Overcome psychological biases that could sabotage wealth management and client retention
• Address and incorporate client’s psychological biases in designing optimal profiles
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
OPTIMIZING PLAN OUTCOMES
Course Detail
MB-260 Thinking on Your Feet: Setting the Stage for Creative Thinking
Instructor: Iris Firstenberg
Adjunct Associate Professor
Course Overview:
Today’s business environment requires thinking skills that give you the agility and readiness to respond
to novel and complex situations. This includes situations of intense time pressure with little opportunity
to think through, analyze and weigh options as well as the ongoing complex and ambiguous problems
that require a fresh and novel approach. In this session we will discuss the constraints that inhibit our
ability to think with flexibility, and explain potent thinking strategies that expand possibilities and
prepare us to meet new challenges and create better opportunities as the future unfolds.
Learning Outcomes:
•
•
•
Identify perceptual and cognitive traps constraining your own thinking
Learn strategies to see beyond the familiar
Discuss application of strategies in the business world
OP-250 Principles of Persuasion
Instructor: Noah Goldstein
Associate Professor
Course Overview:
Every day we face the challenge of persuading others to do what we want. But what makes people
particularly responsive to our arguments, requests, and products? Persuasion is an art, but it is also
a science, and researchers who study it have uncovered a series of hidden principles for moving
others—be they employees, managers, coworkers, prospective clients, or customers—in your
direction. This session explores the psychological fundamentals of persuasive communication and
how to apply those principles to maximize your persuasiveness in an assortment of different contexts
and with a variety of different target audiences. This session will be led by Dr. Noah Goldstein, UCLA
faculty member and author of Yes, a New York Times bestseller on the topic of persuasion.
Learning Outcomes:
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•
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Gain an understanding of the fundamental principles of persuasive communication.
Develop the knowledge and skills to identify the most persuasive aspects of your case.
Learn to apply the fundamental persuasion principles to win support for your ideas, initiatives, products, and requests.
Learn to use a variety of persuasion tactics in multiple domains, including management, marketing, negotiation, sales, and client relations.
TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Managing Your Business
Course Detail
SM-300: Distinguishing Yourself In the Competitive Landscape of The Retirement Plan Industry
Instructor: Steff Chalk, Executive Director
The Retirement Advisor University
Course Overview:
Financial Advisors position substantial resources in the form of time, energy and capital when
in pursuit of the next new client.
Learning Outcomes:
• Recognize the value of proper preparation when in a finals presentation
• Identify the major business foundational components that should be in place to make every
presentation flow
• Contrast your own presentation-style with styles used by some of the leaders within our industry
• Comprehend the logical steps involved with succinctly communicating the value that you and
your firm bring to the client
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Quick Reference for:
Use By A C(k)P®:
•
•
•
•
• <Name> is a C(k)P® Certified 401(k) Professional
<Name> has earned the C(k)P® Certified 401(k)
Professional Designation from (follow general
guideline section here)
• <Name> is a Certified 401(k) Professional OR
• <Name> is a C(k)P®
• <Name> is a C(k)P® Certified 401(k) Professional
in good standing with The Retirement Advisor
University in collaboration with UCLA Anderson
School of Management Executive Education
• <Name> is a C(k)P® / Certified 401(k) Professional
in good standings with the C(k)P® Board of
Standards
The Retirement Advisor University®
TRAU®
C(k)P® Designation
Certified 401(k) Professional
Contacts & Logo Use:
• For detailed use guidelines please see the
policies page at www.TRAUniversity.com.
• Contacting UCLA in any way relating to the
Retirement Advisor University is strictly prohibited.
• Use of the UCLA logo or marks/logos of TRAU
students or lecturers is strictly prohibited.
• Any logos or marks not owned or registered by
you may not be used without written permission
of owner
All questions regarding these policies should be
directed to: The Retirement Advisor University,
855-755-4015 ext. 101 or [email protected]
Approved Description of TRAU:
TRAU™ - The Retirement Advisor University in
collaboration with UCLA Anderson School of Management
Executive Education is the first company retirement
plan management certification program offered in
collaboration with a nationally recognized institution of
higher learning. The mission of The Retirement Advisor
University at UCLA Anderson Executive Education is
to empower financial professionals focused on the
defined contribution and 401(k) industry, with the
qualifications and skill sets necessary for the planning
of a more secure retirement for plan sponsors and
participants.
General Guidelines:
First use must be one of the following:
• The Retirement Advisor University® in collaboration
with UCLA Anderson School of Management
Executive Education.
• The Retirement Advisor University®
Second Uses Must Be One of The Following:
• The Retirement Advisor University in collaboration
with Anderson Executive Education
• The Retirement Advisor University
• TRAU
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Identity Guidelines
* Certified 401(k) Professional should always be in
italics. Other Acceptable uses of C(k)P® Certified
401(k) Professional must be approved on an individual
basis prior to use.
Use By Lecturers:
(“Instructor” may replace “Founding Lecturer”)
• <Name> is a Founding Lecturer of The Retirement
Advisor University® in collaboration with UCLA
Anderson School of Management Executive
Education
• <Name> is a Founding Lecturer of The Retirement
Advisor University®
• <Name> is a Founding Lecturer of TRAU®
Use By Students:
(“Enrolled” may replace “a student”)
• <Name> is a student at The Retirement Advisor
University® in collaboration with UCLA Anderson School of Management Executive Education
• <Name> is a student at The Retirement Advisor
University®
• <Name> is a student at TRAU®
Online/Website Use:
Use of the TRAU® name or logo online may be permitted. Prior written permission is required for each use.
When the TRAU® logo appears online it must contain
a link to www.TRAUniversity.com
The following link to the TRAU instructor page may
be used by any student or lecturer:
http://www.trauniversity.com/retireu/lecturelist.aspx
TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
MyTRAU System Requirements
MyTRAU
Learning Management System (LMS)
You must use a Windows based PC / Laptop when working on the LMS and completing the
courses. (The LMS is not fully functional on tablets or MAC based hardware - including
iPads.) The machine needs to be running Flash and Java. Pop-up blockers should be disabled and cookies turned ON for the Internet browser that is being used for the courses.
System Requirements:
•
•
•
•
•
•
•
•
•
Platform: Windows Operating System
Recommended Browsers:
Microsoft Internet Explorer Version 8.0 or higher
Firefox Version 3.0 or higher
Google Chrome
Screen Resolution: Minimum 1024x768
Audio/Video: Windows Media Player 9 Series or higher
Cookies: Browser must be enabled to accept cookies
Flash: Macromedia Flash Player 9 or newer
Java-script: Must be enabled
Pop-Ups: Must be able to allow pop-ups
PDF Files: Requires Adobe Acrobat Reader Version 7 or higher
Create a MyTRAU Account
If you were enrolled or applied online - This step is already completed.
1. Go to www.TRAUniversity.com
2. Click on “Enrollment” and complete registration and enrollment - this populates your profile information
3. Select the session you would like to attend and click “Submit”
You will receive an email stating that enrollment is not official until payment has been received.
Please work directly with your TRAU Representative regarding your tuition payment.
4. Upon receipt of the initial payment your account should become active within 24 hours.
If it is not activated within 24 hours of receipt of payment please contact:
Donald “D.J.” Koehne
p: 1-855-755-401k ext. 103
e: [email protected]
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Accessing Online Courses
MyTRAU
(Use windows based PC or laptop - Per the MyTRAU System Requirements)
These instructions will guide you through
logging into the MyTRAU LMS, where you
will find the online courses and examinations
that you will take during Certified 401(k)
Professional training.
1. Go to www.TRAUniversity.com
2. Under “My TRAU”, click on “My Courses”
3. If you are not already logged-in enter the
email address and password you created
when you completed the registration form. If
you do not remember your password, use the
“forgot password” link.
4. Click the blue “My Courses” button in the
middle of the page.
5. BE SURE YOU HAVE POP UPS
ENABLED from TRAUniversity.com and
learning.trauniv.com - if you do not the system
will not function properly.
a. If you have tool bars installed these
may include pop up blockers separate from
your web browser.
b. You will know when you launch a
course that you have failed to enable pop ups
from the site as you will get a gray screen saying “educational activity in progress”, but the
separate course window will fail to open.
To verify that pop-ups are the problem, hold
the left ctrl-key on the keyboard down while
clicking on the “launch” link for any given
course. This will bypass any pop-up
blockers.
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
MyTRAU
6. Click on the correct “Level” Tab (Level 1, 2, or 3).
7. Locate the course you wish to take. You can sort the list of courses by clicking the white
text in the column headers.
8. Click the “launch” link in the right column for the course you wish to take.
a. This will launch the course. Your current window will gray-out and a new window will open with the course.
b. If the new window does not launch it means you still have a pop up blocker active. Please check your browser and tool bars and allow pop ups as indicated in #5.
c. If you have pop ups blocked, you can still launch the course directly from the text on the grayed out screen, or by returning to the original link and holding the left ctrl-key and clicking on “launch” at the same time.
9. The link for the Birkman will be sent separately.
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a. This link will be sent approximately 30 days prior to your UCLA session.
TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
MyTRAU
Preparing for and Taking the Designation Examination
This welcome guide includes a sheet designed to help keep you on track and organize your
schedule to accomplish completion of your course in a timely manner. You will find this sheet on
page 9.
Once you have completed the online courses (see page 5 for instructions on how to log-in to
MyTRAU to access online courses) we suggest you prepare for the Designation Examination by
doing the following:
*The Designation Examination is not designed to be scored (taken) on a MAC or IPad technology.*
1. Take the practice exams located on the level 3 tab. We recommend that you take the practice
exams 4-10 times for best preparation.
2. Carefully review your notes from the campus and online courses.
3. Carefully review the learning guides and other course materials.
4. Download the ProctorU Information PDF
(Click on Resources Tab available on the LMS under levels 1, 2, & 3 course modules)
5. Schedule your examination day & time with ProctorU.
6. You will need a Windows based PC or Laptop with a web camera and telephone or microphone.
Most newer laptops have this built in.
7. On the day of the exam please do the following:
a. Follow all instructions from the ProctorU PDF and instructions you receive after registering for the exam.
b. Be sure you have a clean and quiet location to take the exam.
c. Log-in between 1-5 minutes earlier than your scheduled examination.
d. Have a pen and paper nearby.
e. Have both your MyTRAU account, and the ProctorU sites open in separate tabs or windows.
8. Notify TRAU of your completion and score of the exam by emailing [email protected].
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
MyTRAU
LMS Course Schedule
TC-100
TC-101
TC-110
TC-111
TC-114
TC-115
TC-116
TC-120
TC-121
TC-122
TC-124
TC-125
TC-126
TC-211
TC-213
TC-220
TC-227
TC-228
TC-229
TC-230
TC-231
TC-232
TC-233
TC-234
TC-235
TC-306
TC-310
OP-200
OP-215
MB-220
OP-233
OP-239
OP-325
OP-330
MB-222
MB-223
SM-220
SM-300
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ERISA: A Historical Perspective
Fiduciary Responsibilities of Parties to a Defined Contribution Retirement Plan
Fundamentals of Defined Contribution Plans
Historical Perspective: Profit Sharing Reform & Emergence of the 401(k) Plan
Fundamentals of Defined Contribution Plan
Fundamentals of 401k - Part 1
Fundamentals of 401k - Part 2
Overview & Trends in DC Market
How Parties In A Defined Contribution Plans Are Paid
Mutual Fund Fees & Expenses
Investment Fees & Expenses
Regulatory Agencies That Govern DC Plans
Target - Date Funds
Selected Topics in Regulatory Changes: Washington Updates Course
Fundamentals of DB Plans
Fundamentals of MEP’s
A Survey of Fiduciary Standards
Defining A 401k Ethos
401k Ethos Step 1 - Analyze
401k Ethos Step 2 - Strategize
401k Ethos Step 3 - Formalize
401k Ethos Step 4 - Implement
401k Ethos Step 5 - Monitor
401k Ethos - Assessment Procedures
Trust and Loyalty
Leveraging Change: Prospecting & Retention Strategies for Retirement Plan Advisors
Fundamentals of Non-Qualified Deferred Compensation Plans
Understanding Investor Behavior - Behavioral Finance
Designing & Delivering Fiduciary Education for Plan Sponsor Clients
Understanding Fee Benchmarking for Qualified Plans
Understanding the Need for Guaranteed Income Products
Plan Health & Retirement Readiness
Discovering The New Alpha
The Power of Plan Design
Business Plan Development
Fundamentals of Small Business Accounting
Identify and Engage Retirement Plan Prospects
Distinguishing Yourself In The Competitive Landscape of The Retirement Plan Industry
TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Logistics
Airport for Los Angeles, CA: Los Angeles International (“LAX”)
Alternate Airports: Long Beach (“LGB”) | Orange County (“SNA”) | Burbank Bob Hope (“BUR”)
Attire
Business casual for Wednesday & Thursday
sessions at UCLAAnderson.
The W Hotel Westwood
930 Hilgard Avenue
Los Angeles, CA 90024
Travel attire is suitable for Friday 1/2 day
session at the W Hotel.
Airport Ground Transportation
Taxis & rental car companies available at airports.
You are responsible for your transportation from
airport to hotel. Reserved indoor parking near the
Collins center building on UCLA campus is free
for limited number of vehicles on Wednesday &
Thursday.
Phone #: 310.208.8765
Provide Code for TRAU - “TRAU April Meeting”
Room block expires March 25, 2015.
www.hotelpalomar-lawestwood.com
If staying at the hotel for TRAU, we recommend
a Tuesday arrival.
Overnight parking is $41.00 Daily / $10.00
per Hour. You are responsible for your room &
parking costs.
Please make and confirm your hotel reservations
directly with the W Hotel.
Email: [email protected] to reserve
parking at UCLA - no later than April 20, 2015.
TRAU = Wed-Fri April 29 - May 1, 2015
Transportation Services
Sonny, Owner - Professional town car
& Limousine service
Text or call: 310.666.6309
Email: [email protected]
Uber - New age mobile transportation service
https://www.uber.com/cities/los-angeles
Hotel Information - 310.208.8765
TRAU Room Block Rates:
Sunday, April 26th - $259
Monday, April 27th - $329
Tuesday, April 28th - $329
Wednesday, April 29th - $329
Thursday, April 30th - $269
Contact Diane Barstein with any questions
or concerns regarding logistics.
e: [email protected]
c: 561.308.7133
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Logistics
TRAU Schedule
(Schedule last revised 1/15/2015, and is subject to change.)
Wednesday:
TRAU shuttle to UCLA Collins Center Building board in front of the hotel: starting at
6:45 a.m. and ending at 7:30 a.m.
TRAU sessions at UCLA Anderson are on the 2nd floor, TRAU Agenda & Materials will be provided.
7:00 a.m. - 8:00 a.m. Hot breakfast buffet served at the Collins Center Building.
8:00 a.m. - 5:30 p.m. In session
5:45 p.m. pickup - Collins Center Building, and return by shuttle to the W Hotel
6:00 p.m. TRAU Reception at the W Hotel
6:30 p.m. networking dinner - Casual business attire. Please inform us of guests.
Reception & dinners are valuable networking experiences - where we schedule and anticipate your
attendance. Please let us know in advance, if you cannot join us.
TRAU attendees may bring a guest to reception and or dinner at no additional cost. Please provide
full name of your guest in advance.
Thursday:
TRAU shuttle to UCLA Collins Center Building board in front of the hotel starting at:
6:45 a.m. and ending at 7:30 a.m.
TRAU sessions at UCLA Anderson are on the 2nd floor, TRAU Agenda & Materials will be provided.
7:00 a.m. - 8:00 a.m. Hot breakfast buffet served at the Collins Center Building.
8:00 a.m. - 5:45 p.m. In session
6:00 p.m. pickup - Collins Center Building, and return by shuttle to the W Hotel
7:00 p.m. Dinner(s): Time and locations pending decision of the sponsors event dinner host(s).
Business casual - meet in the hotel lobby.
Reception & dinners are valuable networking experiences - where we schedule and anticipate your
attendance, please let us know in advance, if you cannot join us.
Friday TRAU session at the W Hotel:
6:30 a.m. - 7:30 a.m. Breakfast
7:30 a.m. - 10:30 a.m. In session (Break 8:50 a.m. - 9:00 a.m.)
10:30 a.m. - 10:45 a.m. Break
10:45 a.m. - 11:30 a.m. Proctored Campus Exam
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12:30 p.m. - 2:30 p.m. Proctored C(k)P Exam
TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
UCLA Map
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
UCLA Map Guide
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
UCLA Anderson
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
The W Hotel
The W Hotel Westwood in Los Angeles is located at:
930 Hilgard Avenue, Los Angeles, CA 90024
If you need assistance or have any questions please contact:
Diane Nakashima
p: 561-308-7133
e: [email protected]
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com
Contact Information
LOCATION:
The Retirement Advisor University
4425 Military Trail, Suite 202
Jupiter, Florida 33458
Founder & CEO:
Fred Barstein
p: 561-371-4902
e: [email protected]
Executive Director:
Steff Chalk
p: 513-505-6922
e: [email protected]
Technical Support:
Don Koehne
p: 1.855.755.4015 ext. 103
e: [email protected]
Administration:
Diane Nakashima
p: 561-308-7133
e: [email protected]
Tuition Payments:
Elizabeth Youngs
p: 1.855.755.4015 ext. 121
e: [email protected]
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TRAU Welcome Guide 2015 | For more information go to: www.TRAUniversity.com