Individuals credentialed by the College for Financial Planning are required to adhere to Standards of Professional Conduct. As such, you can expect the following five tenets of professional conduct to be displayed when working with a designee:
Individuals authorized to use one of the College for Financial Planning's professional designations are subject to a disciplinary process. Complaints against a designee may be filed by a designee's client, employer, or any other individual with whom the designee has established a formal business engagement for purposes of providing asset management, retirement planning, or financial planning services to that individual.
The College for Financial Planning investigates all complaints and its Ethical Conduct Committee determines whether allegations are justified and whether the conduct warrants disciplinary action.
Individuals found to have violated the Standards of Professional Conduct may be subject to public discipline. Please click here to view a list of individuals who have had a public discipline imposed by the College for Financial Planning's Ethical Conduct Committee.
© 2007-2020 College For Financial Planning. All Rights Reserved.
The following trademarks or federally registered service marks are owned by the College for Financial Planning and may not be used without the express written consent of the College
Accredited Asset Management SpecialistSM or AAMS® | Accredited Domestic Partnership AdvisorSM or ADPA® | Accredited Portfolio Management AdvisorSM or APMA® | Accredited Wealth Management AdvisorSM or AWMA® | Chartered Mutual Fund CounselorSM or CMFC® | Chartered Retirement Planning CounselorSM or CRPC® | Chartered Retirement Plans SpecialistSM or CRPS® | Chartered SRI Counselor™ or CSRIC™ | Financial Paraplanner Qualified ProfessionalTM or FPQPTM | Master Planner Advanced StudiesSM or MPAS®