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 The Institute for Advanced Financial Education

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Smarten Up Institute Programs

The Smarten Up Institute focuses on the following three program areas with the goal of supporting Sales, Finance, Compliance, Vendor services, Mutual Fund, Wealth Management, Portfolio Management, Operations, Back Office and IT professionals wishing to cultivate their skills to keep themselves current and increase their industry marketability.

 leads the way in promoting concepts lost through attrition, shutdowns, buyouts and market cycles, and provides an exceptional opportunity to educate our industry’s up-and-coming professionals. 

Smart Certificate Courses and Smart Specialist Designation 

Participants will receive a Smart Certificate upon successful completion of every in-class or online course. For the online courses, a copy of the cerficate will be automatically generated by our online system and the participants can use it to obtain their CE credits from accrediting agencies. Smarten Up Institute will then provide an original cerfitificate to the participant.

The Smart Specialist designation is awarded upon completion of 72 hours of course work within a category. Smart Notes are quick-reference guides to the terminology and theories within a course’s subject matter. Smart Notes are included with each course registration. 

The full list of Academic Designations and eligible courses for each Designation are available here.  

Smart Talk®...A Live Chat Series

SUI provides a series of LIVE online and in class chat forums providing direct access to some of the best and brightest, and most controversial minds in our industry.

Our in class Smart Talk sessions provide immediate and relevant information you need now. Changes to compliance rules. Changes to regulatory policies. Changes to legislation governing the financial and securities industry. You are given the information that is needed to ensure you understand what you need to do in a straightforward wayl.

believes that technology can play a valuable role in the total training solution with our online chats. We have designed our Smart Talk online sessions to provide a high-quality, web technology experience, covering a variety of up-to-date and provocative topics in the financial industry. In recognition of completion of six Smart Talk chats, participants will receive a Smart Certificate.  

Smart Mentor Program®

The Smart Mentor Program is a one year certificate program designed for participants that have demonstrated both direct knowledge of the financial industry and significant leadership skills. It is an intensive, full-scale self-development program. Participants are personally partnered with an industry mentor, providing the opportunity to understand, first hand, the challenges facing the leaders of our industry. The future expert and leader will gain invaluable insight while taking their career to the next level. 

The program is a vital tool in achieving success in areas of career development and personal growth. It is a proven step-by-step program customized for each individual participant. A one year mentorship provides targeted guidance, counseling, tutoring and on-site training in a market that not only looks at performance and attitude but also at the ability to contribute to the bottom line. 

’s business mentoring and life mentoring techniques provide positive support and instructive feedback while offering occasional advice. A professional SUI Mentor may use inquiry, reflection, requests and discussion to help participants identify goals and develop the strategies, relationships and action plans required to achieve those goals. Participants will learn to recognize ways in which they can improve their effectiveness, while keeping both their professional and personal lives in balance. 

Upholding levels of professionalism, standards and ethics is a challenge in the field of mentoring. To this end, our organization has developed criteria to which our mentors are accountable. Please review the Smarten Up Institute Code of Ethics and Good Practice

For more information on Smarten Up Institute’s Smart Mentor Program, please contact