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Chartered
Financial Analyst™ or CFA®
- The Chartered Financial Analyst program is a
globally recognized standard for measuring the
competence and integrity of financial analysts.
Its curriculum develops and reinforces a fundamental
knowledge of investment principles. Three levels
of examination measure a candidate's ability to
apply these principles at a professional level.
To learn more go to CFA
Institute
Certified
Financial Planner™ or CFP®
- Is an experienced planner who has completed
courses of study and passed examinations in
areas such as retirement and estate planning,
insurance, investments, and taxes. Additionally,
CFP's are required to disclose ethical standing
and comply with the CFP Board Code of Ethics.
The designation is awarded by the Certified
Financial Planner Board of Standards. To learn
more go to CFP.net
Chartered
Life Underwriter or CLU® - The
Chartered Life Underwriter designation is the
undisputed professional credential for persons
involved in the protection, accumulation, preservation,
and distribution of the economic values of human
life. Since the first examinations were held
in 1928, more than 93,000 men and women have
met the educational, experience, and ethics
mandates needed to earn the CLU designation.
To learn more go to American
College - CLU
Accredited
Investment Fiduciary Auditor™ or AIFA®
- The Accredited Investment Fiduciary™
designation is the first and only designation
that illustrates knowledge and competency in
the area of fiduciary responsibility. Designees
must be able to understand and articulate the
legal and regulatory environment surrounding
the fiduciary, be able to develop and implement
an effective investment management process applying
the principles of Modern Portfolio Theory, document
all due diligence, and above all, treat their
clients with the utmost prudence and care. To
learn more go to: Center
for Fiduciary
Certifid
College Planning Specialist™ or CCPS®
- This designation recognizes the individual's
commitment to actively assisting families in
preparing for the financial cost of sending
children to college. The purpose of the
CCPScertification program is to provide candidates
with the knowledge and resources necessary to
start and manage a successful college planning
advisory practice. To learn more go to:niccp.com
Registered
Investment Advisor (RIA) - A person
or company who, for compensation, engages in
the business of advising others as to the value
of securities or the advisability of purchasing
or selling securities. RIA's are required to
register with the Securities Commission and/or
state regulators.
Investment
Consultant - A person or company that
offers professional advice on portfolio strategy,
design and structure. They do not manage money
themselves but direct it to professionally managed
mutual funds or separate-account managers. A
professional investment consultant may hold
a designation from IMCA, be a Certified Financial
Planner™ or be an Accredited Investment
Fiduciary™.
Investment
Manager - A person who, for a fee,
buys and sells securities on behalf of the client
to implement the plan. A professional investment
manager may hold qualifications such as the
Certified Financial Analyst™ designation.
Form
ADV - The uniform form for use by investment
advisors to register and update registrations
with the Securities and Exchange Commission
and the state jurisdictions that require advisors
to register. The form is also used to comply
with SEC Rule 206(4)-4, which obligates investment
advisors to disclose relevant financial and
disciplinary information to clients.
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