Meetings & Events

FPA-NENY programs can help enhance your awareness
of issues affecting many people.

Whether you do comprehensive financial planning or specialize in just one facet of it, there are so many topic areas that a CFP® needs to have knowledge about.

The broader the scope of your knowledge, the more value you bring to the client relationship. Just think of all of the topics covered in the CFP® study program!

Because financial planning is about the client’s entire financial life, it is so important to be aware of how little details fit into the big picture. The key is recognizing the issues and being able to provide solutions, whether you do so yourself or turn them to someone who handles that area.

PayPalThis Site uses Paypal as its secure shopping cart and payment processing service. If you wish to register for more than one person or more than one event, simply return to this page and add additional events to your shopping cart. When you check out, don’t forget to put the names of all the people you registered for in the “Message” box.


 Season Pass:

The Season Pass is a MEMBER’s ticket to all 8 regular monthly meetings. Cost is $195, a 40% savings from individual ticket purchase.


The Combo is a MEMBER’s ticket to all 8 regular monthly meetings PLUS the 2018 Symposium. Cost is $340.


Our venue: Wolferts Roost Country Club

A July 2018 Stephanie update:  This EVENTS page is being updated, it’s not yet ready–so be aware.  Thank you!

FPA NENY Calendar 2018-19

* calendar subject to change.




Will appear here when available

September 26, 2018

2 Hours


CFP Board Ethics: Enhancing Your Ethical Intelligence

Speaker:  Bonnie Kirchner, CFP®, MST of Sea Change Financial Education

At the end of the course, participants will be equipped to:

  1. Identify the significant changes in the Standards and how the changes affect CFP® professionals
  2. Act in accordance with CFP Board’s fiduciary duty
  3. Apply the Practice Standards when providing financial planning services
  4. Provide all disclosures required by the Standards
  5. Recognize, avoid, or fully disclose and manage conflicts of interest.

Members:  $50 | Non-members $75

Time:  7:30 A.M. Reg/Breakfast | 7:45 – 10:00 A.M. Program (2 hours)

            Wolferts Roost Country Club


Register Now

October 18, 2018 Thursday

1 Hour



 IRA Planning for Baby Boomers – FP NENY – 10-19-17

IRA Planning for Baby Boomers

Speaker: Tom Brinker, Professor / Dean / Executive Director, Domestic MBA Program, School of Global Business, Arcadia University

Americans currently hold over $25 trillion in retirement assets. As such, a sound understanding of the rules surrounding these accounts is an absolute must for any serious practitioner. Those who understand the ins and outs of IRA planning are poised to benefit from the wave of Baby Boomers who are, or soon will be, tapping into their retirement assets. Conversely, those without such knowledge risk losing relevance or, worse, making the costly and irrevocable mistakes that can derail clients’ plans.

Members:  $35 | Non-members $55

Time:  7:30 A.M. Reg/Breakfast | 7:45 – 9:30 A.M. Program (1.5 hours)

            Wolferts Roost Country Club


Register Now


November 16, 2017

1 Hour


HANDOUT (provided in two formats):  Pick your preference!

PDF – Making Taxes Great Again       OR      PowerPoint – Making Taxes Great Again

Making Taxes Great Again: Tax Reform the Trump Way and What Advisors Need to Know for Year End Tax Planning Purposes

Speaker:  Martin Finn, Esq., CPA of Lavelle & Finn, LLP

An analysis of enacted or proposed tax reform legislation including individual income tax, business tax and estate/gift/generation skipping tax changes with an emphasis on financial and tax planning strategies we need to discuss with our clients in 2017 and beyond.

Learning Objectives:

1. Understand enacted or proposed federal tax reform legislation including individual, business and transfer tax changes.
2. Gather year-end tax reduction strategies for our individual and business clients.
3. Recognize estate, long term care and financial strategies relevant to our clients in a tax reform environment.

Members:  $35 | Non-members $55

Time:  7:30 A.M. Reg/Breakfast |  7:45 – 9:00 A.M.Program

         ⇒ Hilton Garden Inn – Clifton Park 

Register Now



December 14, 2017

1 Hour

Noonan Handout December 2017

Fighting for Better Futures

Speaker: Tim Noonan, Managing Director of Russell Investments

How can advisors show up as their clients’ hero? Noonan’s talk will explore the strategic implications of the consensus forecast for forthcoming modest returns, increased longevity, and fiduciary mandate to evolve beyond risk-based portfolio selection. Through defining and achieving plausible outcomes, the advisor can tower above the robot. Noonan will discuss the formula for doing so.  Capes will be provided. Kryptonite expressly forbidden.

Members:  $35 | Non-members $55

Time:  7:30 A.M. Reg/Breakfast |  7:45 – 9:00 A.M.Program

           Wolferts Roost Country Club


Register Now



January 18, 2018

1 Hour

Handout:  20180118, Hugh Johnson presentation, FPA NENY

2018 Outlook for Financial Markets and Economy

Speaker: Hugh Johnson of Hugh Johnson Advisors, LLC

Expert Hugh Johnson shares his outlook for 2018 for the local, national, and global economy. Hugh shares his extensive background in economic research, showing attendees via graphs and charts what he expects to happen to the economy in the upcoming year and how to put their clients in the position to take advantage of the current economy.

Learning Objectives:

1. Understand how past economic events are shaping the economic future.

2. How to use the 2018 Tax Bill to your clients’ advantage.

3. Preparing alternate plans to implement given the changing economy.

Members:  $35 | Non-members $55

Time:  7:30 A.M. Reg/Breakfast |  7:45 – 9:00 A.M.Program

           Wolferts Roost Country Club


Register Now



February 15, 2018

1 Hour


Behavioral Finance, Communication, and Client Retention

HANDOUT for 2.15.18

Speaker:  Peggy DoviakPh.D., CFP®, DM Wealth Management, Inc.

Understanding the principles of behavioral finance can help us better communicate with our clients as we discover how textbook views of finance are co-opted by social and cultural beliefs. The improved dialogue around money helps us provide financial planning that our clients find valuable in addition to improving both our client acquisition and retention rates. This seminar provides a background on behavioral finance and how clients’ beliefs impact their views on money. In addition workshop activities provide specific tools and suggestions that planners can use to help client communication.

Learning Objectives:

  1. Participants will be provided with an overview of behavioral finance principles.
  2. Participants will see how the social and cultural worlds of their clients impact how they view issues about money and lead to the biases central to behavioral finance theory.
  3. In a workshop environment, participants will be given communication strategies that they can use with their clients to help the planner better understand the clients’ perspectives.

Read an article: Making Research Meaningful to Clients

Members:  $35 | Non-members $55

Time:  7:30 A,M. Reg/Breakfast |  7:45 – 9:00 A.M.Program

           Wolferts Roost Country Club

Continuing education for: CFP® and CPA

Register Now



March 15, 2018

1 Hour

Advising Clients through the Toughest Times of Life

Speaker: Amy Florian, MA and Fellow of Thanatology, CEO, Corgenius

When clients cope with death, divorce, retirement, empty nest, or other life transitions, what you say and do in the office has more influence on your client relationship than your financial savvy ever did. Understand how to answer the dreaded “bad news” phone call, effectively communicate with grieving clients, utilize rational ways to deal with irrational fears, bring humor into meetings, and help clients make wise decisions in the midst of loss. Walk away with practical, proven strategies that you can implement immediately.

Learning Objectives:

  1. Learn the most important principles of grief support, what questions to ask a grieving client, and how to support clients in transition without intruding into their personal lives.
  2. Understand why the “stages of grief” are insufficient knowledge and what to expect instead from grieving clients and family members.
  3. Gain skills for handling client fears, establishing empathetic bonds, and building long-term loyalty.

Articles authored:

Journal of Financial Planning: 10 Questions

Members:  $35 | Non-members $55

Time:  7:30 A.M.Reg/Breakfast | 7:45 – 9:00 A.M.Program

           Wolferts Roost Country Club



Register Now



April 12, 2018

1 Hour

HANDOUT:  Supplemental Needs Trusts

What Financial Advisors Need to Know about Special Needs Planning

Speaker: Tara Anne Pleat, Esq. of Wilcenski & Pleat, PLLC

This program includes a survey of the service delivery system in New York for individuals with disabilities and their families.  Tools and planning options for the future of a loved one with special needs will also be discussed.

Learning Objectives include:

  1. Function of service delivery and financing
  2. Availability and use of public benefits.
  3. The use of trusts in planning.

Articles authored:

State Court Cases Put Trustees on Notice.Estate Planning Magazine.March 2014

Dealing with Special Needs Trust and Retirement Benefits

Members:  $35 | Non-members $55

Time:  7:30  A.M.Reg/Breakfast |  7:45 – 9:00 A.M.Program

           Wolferts Roost Country Club


Register Now



Thursday, May 17th, 2018

Hilton Garden Inn – Troy

Registration/Breakfast: 7:30A.M., Programs: 8:00A.M. to  4:30P.M.

 HAPPY HOUR follows upstairs!

FPA Partner & Sponsor Info

Handouts that have been received are posted below.

Materials for GS2 will be posted as soon as received.

Eighteenth Annual SYMPOSIUM

It’s a FIRST!  Every single course has been CFP Approved! 

SEVEN CEs.   Excellent speakers.   Folks you haven’t seen in a million years.   Fun, food, & laughs.   HAPPY HOUR.

All. In. ONE. Day.

You know this is awesome high-level learning, which likely is on your tattered and torn 2018 resolution list AND
You actually get to hang out with awesome folks you haven’t seen in forever. Bonus–there’s no assigned seating. Unless rowdiness ensues, if so-all bets are off. AND
You can:

• wear awesome casual attire,

• get awesomely well-fed for breakfast and lunch,

• meet up with our awesome Chapter Partners & Sponsors to see what new stuff is out there,

• enter into the awesome raffle for super cool prizes, AND

• attend our awesome Happy Hour (!!!!) sponsored by John Hancock & FirstTrust/Mirkovic Teal Group

MAY 17, 2018 Symposium HANDOUTS:

are posted below, except for GS4. That will be posted as soon as they are received.

General Sessions:

1 GS1 – Daniel Cook

1 GS2 – Randy Gardner

1 GS3 – Christine Benz

1 GS4 – Michael Finke

1 GS5 – Steve Calendra


AMBO1 – Jay Thierren

AMBO2 – Erik Heavey

AMBO3 – Harley Gordon

PMBO1 – Patrick Clunan

PMBO2 – Phil Martin

PMBO3 – Bryan Favilla

  FPA NENY 2018 Symposium Flyer



 FPA NENY 2018 Symposium Flyer

PROGRAM SCHEDULE & Speaker Bios can be found in the flyer.



Q2 2018 Global Macro Market Outlook:
         Nanette Abuhoff Jacobson – Managing Director of Multi-Asset Strategies, Wellington Management Company
The coming year is likely to be a positive one for global equities, but there are risks. With valuations at relative highs, there is little margin for investor error. Overall, the prospects for 2018 are optimist, potential risks exist. NanetteAbuhoff Jacobson discusses how dispersion and volatility are likely to rise as the market cycle matures and that one of the main risks is complacency itself.

While stock valuations are fundamentally supported, they are elevated when compared with long-term averages. Even when cyclically adjusted, valuations—as measured by price/ earnings ratios—are close to the top of their historic range. This suggests there is little “wiggle room” should things go wrong and, eight years into a US bull market, the risks of a reversal are clearly rising. A must hear for all financial professionals. (APPROVED CFP/CPA:1 CE)

Tax Reform Act: How It Will Affect Your Clients’ Taxes and How to Plan for It:  Randy Gardner, J.D., LL.M., CFP®, CPA
Congress has passed the largest piece of tax reform legislation in more than three decades.  The bill will affect the taxes of most taxpayers, but how? Join
Randy Gardner as he advises about navigating the areas of concern and highlights the changes that most likely affect your clients. Timely planning can effectively reduce the effects of change for your clients. (APPROVED CFP/CPA:1 CE)

Retirement Planning: What We Know For Sure, Christine Benz – Morningstar
Retirement planning can be a painfully uncertain exercise: Retirees don’ t know how long they’ll live or how the markets will perform over their retirement time horizons. Morningstar director of personal finance, Christine Benz, will discuss what we know for sure about withdrawal rates, maximizing lifetime income sources like Social Security, and creating a plan that can withstand long-term re costs as well as tricky market environments. She’ll also share her model “bucket” portfolios for retirees. (APPROVED CFP/CPA:1 CE)

Retirement Income and Planning, Michael Finke, Ph.D., CFP®
Retirement planning involves a unique set of challenges for advisers including an unknown planning period, investment returns, lifestyle, and physical and
cognitive decline. This session will include a discussion of trends in longevity, new research on the stages in retirement, spending and time use patterns, and life satisfaction. A comprehensive retirement plan incorporates both financial and lifestyle goals, and this session will provide insight into how an advisor can help clients get the most out of this life cycle stage. (APPROVED CFP/CPA:1 CE)

Planning for the Cost of Healthcare in RetirementSteve Calandra – Vice President, Nationwide Retirement Institute
Health care costs are one of the primary concerns of retirement. Learn how to help your clients prepare and plan for one of the biggest retirement expenses with insights and ideas on Medicare, Medigap, private health care, and long-term care insurance. (APPROVED CFP/CPA:1 CE)

1. Minding the Gap: A New Client Engagement StandardJay Thierren – Advisor Institute Business Consulting
In today’s environment Financial Advisors face a number of challenges including; more regulation, market volatility, fee compression, justifying fees, Robo competition, growth challenges etc. The role of Financial Advisor has never been this complex; however these complexities also create tremendous opportunities. Those Advisors and teams that have a gold standard client service model will be positioned to succeed and grow. Oppenheimer Funds CEO Advisor Institute has created this program that is designed into four steps and easy to implement. (APPROVED CFP/CPA:1 CE)
2. Reducing Risk in Client Portfolios with Structured InvestmentsErik Heavey
Structured investments provide a means of linking traditional fixed income products, such as corporate notes and certificates of deposit, to
the performance of equities or other asset classes. Volatile stock markets have created a demand for products that provide growth potential and may provide some downside protection, depending on the terms of issue, in a declining market(APPROVED CFP/CPA:1 CE)
3. Why A Plan For Extended Care is a Critical Component In A Retirement Portfolio
       Harley Gordon, founding member of the National Academy of Elder Law Attorneys
Failure to proactively engage clients in a discussion about extended undermines ever plan created to secure the financial viability of a client’s family and directly impacts the advisor’s business model. (APPROVED CFP/CPA:1 CE)

1. Concentrated Wealth at Work: Help Advisors Understand C-Suite Executive Retirement Plans
     Patrick Clunan – Program Manager of the Learning Center
Senior executives at mid- to large-size companies usually have a range of compensation and retirement options but may not be taking full advantage of
them. The benefit options are complicated and sometimes contain hidden features that only someone with in-depth knowledge of the company’s
specific benefits can uncover. This knowledge gap is an opportunity for financial advisors. You can help your clients to better understand the options available to them leading up to and through their retirement. Also, by offering information on a specific company’s benefit plans, advisors can connect with more employees who work there and build a pipeline of new clients. (APPROVED CFP/CPA:1 CE)

2.  Avoid Getting Fired – Family Wealth ConversationPhil Martin – MFS
Family owned businesses face all the challenges of any other business, and then may become even further complicated by those very family ties. This
presentation aims to:

  1. Provide advisors with tools to be more effective communicators regarding family wealth transfers and enable advisors to serve their clients more effectively.
  2. Help clients reframe the wealth transfer conversation.
  3. Demonstrate the family conversation on developing the Family Giving Plan, while engaging multiple generations.


3. Fixed Income at Capital: Realities, Myths, and Actionable Ideas
Bryan Favilla, Director of fixed-income markets at American Funds
Join us for an outlook for 2018 in the fixed income markets including an overview of current risks and opportunities in the capital markets and the retail investment space. We will explore some of the topics being emphasized by the popular press and financial publications and the resulting impact on portfolio construction.
Sectors of the market include US Treasuries, corporate bonds, municipal bonds, asset-backed securities, bonds, and foreign bonds. In the current environment of central bank accommodation, asset classes have been significantly affected and investment vehicles have been impacted. (APPROVED CFP/CPA:1 CE)

Early Bird price April 1 – 30. (M $175, NM $200) 12.5% discount

Regular price May 1 – 17. (M $200, NM $225) Full price and well worth it!

Register Now

Regular Savings
now through May 31

Registration Form