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

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.