Advising Older Clients – Financial Vulnerability, Warning Signs, Recent Research and Practical Applications for Advisors

Monday, 11:30 am - 1:00 pm

CFALA Member Center - Biltmore Court
520 S Grand Ave., Suite 655
Los Angeles, CA 90071-2607


Research — Age-Associated Financial Vulnerability
Duke Han, PhD - Associate Professor Family Medicine (Clinical Scholar) - USC

Practical Advisor Ideas – Applications and Strategies
Mark Harbour, CFA, CIMA®, CPA
Dan Pomerantz, CFA, CFP®
Scott Laudeman, CFA

Time: 11:30 am - 12:00 pm: Lunch
12:00 pm - 1:00 pm: Presentation
Dress: Business Casual
Add to Calendar 11/18/2019 11:30 AM 11/18/2019 1:00 PM America/Los_Angeles Advising Older Clients – Financial Vulnerability, Warning Signs, Recent Research and Practical Applications for Advisors Advising Older Clients – Financial Vulnerability, Warning Signs, Recent Research and Practical Applications for Advisors  CFALA false MM/DD/YYYY

A CFALA & Advocacy/Ethics Committee Sponsored Event

Please join us for an update on the current magnitude of risks associated with providing financial services to our older population demographic, what research initiatives are underway, and practical techniques advisors may wish to consider engaging.

The first portion will be a presentation from Duke Han, PhD from USC on the following topics –

  • A discussion/review of the magnitude of the problem of fraud/financial scams on seniors.
  • A review of what key aspects/factors or situations that can provide warning flags for advisors – and – whether (and if so, when and how) should advisors communicate/collaborate with client medical professionals regarding this issue.
  • What specific client assessment tools (from research) are available for advisors to consider engaging and in what situations are they most appropriate.

The second portion will be an active interchange with three practicing advisors who have taken a deeper dive into potential practical solutions. To discuss –

  • When and how to effectively communicate with a client the advisor’s intent to actively monitor and ensure the quality of financial decision making is maintained.
  • What other actions are appropriate to engage in serving senior clients.

Duke Han, PhD | Duke Han is a diplomate of the American Board of Professional Psychology in clinical neuropsychology, Director of Neuropsychology in the Department of Family Medicine, and an Associate Professor of Family Medicine, Neurology, Psychology, and Gerontology at the Keck School of Medicine of the University of Southern California.

Dr. Han is interested in the factors that impact cognition and decision making in aging. He also has special interests in using novel neuroimaging and statistical approaches to better understand these factors.

Dr. Han maintains an active research collaboration with the Rush Alzheimer's Disease Center of Rush University Medical Center in Chicago, where he was most recently a tenured faculty member.

He is the recipient of the Paul B. Beeson Career Development Award in Aging Research, which is supported by the National Institute on Aging, the American Federation of Aging Research (AFAR), and the John A. Hartford Foundation.

Dr. Han is actively involved in peer-review of research grants for the National Institute on Aging (NIA) and manuscripts for over 30 scientific journals. He is on the editorial board for the Journal of Alzheimer’s Disease and Archives of Clinical Neuropsychology, and is a member of the Governance Committee of the Global Council for Brain Health, an independent science collaborative convened by the AARP and AgeUK.

At the Keck School of Medicine of USC, he was awarded the distinction of Clinical Scholar, which is an honor given by the President of the University.

Dr. Han currently holds leadership or mentorship roles in the International Neuropsychological Society (INS), the National Academy of Neuropsychology (NAN), the American Academy of Clinical Neuropsychology (AACN), and the Society of Clinical Neuropsychology (Division 40) of the American Psychological Association. Back To Top ^^

As a participant in the CFA Institute Approved-Provider Program, the CFA Society of Los Angeles has determined that this program qualifies for 1 credit hours. If you are a CFA Institute member, CE credit for your participation in this program will be automatically recorded in your CE Diary.

Registration Fees
$10 (Members) | $20 (Non-Members)

Registration is now CLOSED. Walk-ins Welcome

Parking Information
Click links for address and rates:

Pershing Square Garage: Rates vary

Central Library Parking: Rates vary

Joe's Auto Parks: $12 

Pacific Center Parking: $15

More Parking Options (Click link)

WARNING: Parking at Millennium Biltmore - $50 Daily Max; $4.50 each 15 minutes
Payment Information
We accept the following:

If you prefer to pay by check please email and request to pay by check. Your registration will be completed manually and you will receive an email confirmation.

Mail Check To:

CFA Society of Los Angeles, 520 S. Grand Ave, Suite 655, Los Angeles CA 90071.

*Credit card payments will only be accepted through the secure online registration, and not by phone or email.

Cancellations must be received in writing by 9:00 am the day prior to the event to receive a refund. No phone cancellations are accepted. Please fax to the CFALA office at (213) 613-1233 or e-mail Member “no-shows” will be billed the difference between the member fee and the non-member fee for the event which is posted on the CFALA website.
Mark Harbour, CFA, CIMA®, CPA


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