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Financial Planning

FAQ

1. What is the time commitment required for study outside of the classroom?
Depending upon previous experience and education, a student can expect to spend 1-2 hours outside of the classroom for every hour in the classroom. This program requires multiple readings and homework problems for each weekend of class. Multiple tests and/or cases will be also administered during each course except for course six, in which students will be graded on group presentations.
Students who intend to take the national CFP® Exam should expect to dedicate at least 200 hours of extra study beyond the study requirements for the Duke program.

2. How long is the program and how much does it cost?
This is a nine-month program consisting of six courses: Fundamentals of Financial Planning and Insurance Planning, Investment Planning, Income Taxation and Tax Planning, Retirement and Employee Benefits Planning, Estate Tax Planning and a Capstone Case Course in Financial Planning. Courses are required to be taken sequentially as each course is designed to lay the groundwork for the following course. Course six integrates all the components from the previous five courses.

Full payment for the program is required in advance of the start date as this program is purchased as one package. The Duke program does not accept payments per course.

Students securing loans, WIA funding, etc., to pay for the program must receive funding approval prior to the program start date. Information regarding loans is available on the registration page.

Please see the Schedule and Fees page for information on program costs. 

  3.How do I order textbooks and receive other program participation information?
10 - 14 days prior to program start, the textbook list and directions for ordering will be emailed to you by the Program Director. Books are purchased on a course-by-course basis.
 
Other orientation materials such as syllabus, directions and required calculator will also be emailed to you.

4. Why choose Duke University’s Certificate in Financial Planning program over another program?
The Duke program is a unique collaboration between Duke University and Kaplan-Schweser. Duke’s reputation for educational excellence combined with Kapla-Schweser content-based expertise ensures that students will receive the highest standard of training and instruction. Kaplan-Schweser is the leading provider of review materials and courses for the CFP® Exam.

Other benefits offered by the Duke certificate program:
- Instructors, themselves, have passed the CFP® Exam and are industry practitioners in some capacity.
- Students are exposed to different financial perspectives as multiple instructors teach during the program.
- Instructors are trained to present the material in a manner that allows students to use their study time outside of class in an efficient and effective manner.
- Multiple readings/problems/tests and/or cases are administered during each course enabling the student to quickly focus on weak areas and to adjust study habits accordingly. Repetition via classroom lectures, homework and consistent testing strengthens the student’s learning process.
- Students are provided additional study resources such as a toll-free help line; web access to course study notes, and in-depth review exercise books that accompany each course of the program.
- In just nine months, students of the Duke program can complete the education requirement for CFP® certification, graduate, and apply for the CFP® Exam.

5. How many students are typically enrolled in the Duke program?
Typically Fall program enrollments are larger than Spring. Enrollment numbers vary between 10 and 25.
 
6. Why choose a (non-credit) certificate program?
Duke University has elected to offer this program as a certificate because such programs allow students to concentrate their studies to the specific content area relevant to their profession. By focusing the coursework, students are able to complete their education requirement in only nine-months and at a significantly lower cost than degree-granting programs.

7. Can I earn CE credits for any of the courses in the CFP® program?
You may earn up to 12 CE credits with the North Carolina Department of Insurance for the Fundamentals of Financial Planning and Insurance course. Upon completion of the course we will submit your information to the NCDOI. The fee for this is not covered by your tuition for the Duke CFP® program, however it is a minimal charge (in 2008 the cost was $19.80 for 12 CEs).

Other courses in the program can be submitted to the NC Sate Board of Certified Public Accountant Examiners for CPE credits. It is up to this Board to determine if the course is allowed for specific individuals. It is up to the individual students to apply for these credits.

7. I have already completed classes in a self-study program. Can I transfer credit to your program?
Duke University will allow students to transfer one credit from another CFP Board-registered program. In addition, Duke will offer a tuition reduction of $500 for the exempted course. If granted an exemption from a course, you are still encouraged to attend the class and complete the class assignments to ensure you receive the best possible education and preparation for becoming a financial planner.

8. What requirements must be met in order to earn the Duke Executive Certificate in Financial Planning?
Students must achieve a minimum score of 70 for each course and tuition must be paid in full. Failure to meet these requirements will delay receipt of the student’s certificate and prolong his/her eligibility to apply for the national CFP® Exam. For more information, see our Requirements webpage, section “Earning the Certificate.”

9. What is the process of attaining CFP® certification?
The CFP Board outlines four E’s for CFP® certification: Education, Examination, Experience and Ethics. (A four-year degree is also a requirement to pursue certification.)

• Education - The Education requirement can be fulfilled by successfully completing Duke’s Executive Certificate in Financial Planning program. Completing the education requirement does not guarantee success on the exam. Additional study is required by the student to prepare for the exam. Certain professionals such as a Ph.D., D.B.A., JD, CFA, CPA, ChFC or CLU may challenge the exam. Once you become a CFP® certificant, you will be required to complete 30 hours of continuing education every two years.
• Examination - The CFP® Exam is given three times per year in March, July and November. The CFP Board issues a topic list covering nearly 100 financial planning topics a candidate should be prepared to answer at the evaluation level or lower. The CFP Board requires applicants to take all the courses in a CFP Board-registered program such as the Duke program. No coursework substitution is allowed. For information on transferring credits, see question #8 above.
• Experience - In order to receive CFP® certification, the candidate must meet certain experience requirements. Three years of related work experience is necessary. In addition, this experience must be completed in the 10 years preceding the exam or 5 years after passing the exam.
• Ethics - CFP® certificants are required to abide by the CFP Board’s Code of Ethics and Professional Responsibility and Financial Planning Practice Standards. In addition, CFP® certificants are required to disclose to the CFP Board if involved in a criminal or civil proceeding.