College for Financial Planning
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Standards of Professional Conduct

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:

  1. You can expect the designee to display integrity.

    Designees have agreed to provide professional services with integrity, honor, fairness, and dignity and to maintain your trust and confidence.
  2. You can expect the designee to provide objective advice

    You can expect the advice and services you are provided to be objective and impartial and the result of a thorough analysis of your goals, resources and current situation.
  3. You can expect the designee to be competent

    Designees complete a rigorous education and examination process before being conferred the designation. Designees agree to maintain an adequate level of knowledge and skill and effectively apply that knowledge while recognizing its limitations. Completing continuing education every two years is required as part of the ongoing designation renewal requirements.
  4. You can expect your privacy to be protected

    Designees have agreed to keep client information confidential, disclosing only when authorized by you or compelled by law.
  5. You can expect the designee to display professionalism

    Designees must comply with all state and federal laws and regulations as required and applicable as determined by the services they provide.

Complaint Procedures

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.

Disciplinary Actions

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.

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