Key takeaways

Regulatory Updates

With the regulatory environment changing rapidly, Cody highlighted many of the changes that will be coming very soon as well as the lessons we’ve learned from regulatory enforcement actions as well as our own 2019 SEC examination. Understanding the coming landscape as well as evaluating trends from regulators will help you keep your practice safe.

Case Summaries/Do’s and Don’ts

SEC v. Springer and In the Matter of Skinner out of Massachusetts are two cases highlighting practices advisors should avoid. These cases exemplify the need for appropriate disclosure to the clients as well as adhering to regulatory standards for product recommendation. CLICK HERE for more examples.

Compliance Disclosure

AE strives to provide our advisors best practices along all lines to ensure their practice is protected from legal and regulatory risk. This becomes vitally important with the introduction of Reg BI and the NAIC best interest standards. Throughout 2020, AE will be providing additional helpful documentation and practice tips to help our field thrive in an enhanced regulatory environment. For more information CLICK HERE.


Block your calendars to ensure you and your team receive the best training available to take your business to the next level. Click HERE to view all of opportunities available to you and contact your VP team to find out how you can get registered!

The Foundation

This event is geared toward advisor offices who have been with AE for two years or less as we continue to help you develop the foundation to build your business. Advisors, marketing directors and operations directors should all plan to attend.

 March 29-31 | June 24-26 | September 16-18 | November 18-20
(all events held at AE headquarters)

The Transformation

Learn how to put on the best seminar possible and close the deal, while also exploring top marketing ideas. Advisors and their marketing directors should plan to attend.

February 23-25 | June 3-5 | August 26-28 | November 11-13
(all events held at AE headquarters)

The Journey

We’re hitting Minneapolis, April 6-8, with a power-packed lineup of speakers set to share the elements that have helped them thrive, as well as the mistakes they learned along the way. Don’t miss your chance to hear from Don Bergis and Jared Elson, David Brooks, Brett Burzynski, John Hagensen, David Nicholas and Casey Weade. Advisors and associate advisors should plan to attend.

Save the date for the fall Journey, October 19-21 in Atlanta.

Online University

Utilize this online training platform to help get your team up to speed on products, customer service and more!

New Consumer Seminars

Presidential Elections & the Markets: How Could It Impact Your Retirement?
The Secure Act: The Three Things You Actually Need to Know
De-Risking Your Retirement
Managing Market Volatility

Community Engagement

One of the areas that our team is the proudest of is the time that is spent in our community. The resources below can help get you started on making a positive impact in your area.

Vendor Offers

Acquire Direct/LeadJig

WSOS special offer! Learn how you can receive reminder postcards on any direct mail campaign for 50% off, or receive LeadJig free for your first three campaigns!

Leading Response

WSOS special offer! Leading Response will invest $1.5 million in free mailings. Multi-channel methods, guaranteed results and financing options to AE advisors in 2020. Reserve your share, because once it’s gone, it’s gone!


Save $3,300 on Social Media Masterclass and Mastermind Group, as you learn how to grow your following and engage your audience where they spend most of their time – on social media.