Principles of Professionalism
- The firm affirms and supports FPA's Institutional
Member Code of Conduct (PDF | 1.3MB), Core Beliefs and
Principles of Professionalism.
- The firm actively promotes and advocates the financial planning
process as championed by FPA.
- The firm encourages all of its advisers who are CFP®
professionals to apply for and maintain membership in FPA. A
minimum number of CFP professionals of the firm must maintain
membership to be accepted and to continue as a participant in the
Alliance Program.
- The firm actively encourages all its advisers who hold
themselves out as financial planners to maintain membership in
FPA.
- The firm actively encourages all its advisers who hold
themselves out as financial planners to earn the CFP® certification
and the firm will provide assistance to its planners who do
so.
- The firm requires that all its advisers who hold themselves out
as financial planners abide by all applicable laws and
regulations, including registration as an investment adviser on the
state and/or federal level, unless otherwise exempt.
- The firm is committed to lifelong
learning and leadership initiatives within the firm to further
exemplify financial planning practices for the ultimate benefit of
the client.
- The firm demonstrates its commitment to the financial planning
community through Institutional
Membership in FPA, agrees to abide by the FPA's Institutional
Member Code of Conduct (PDF | 1.3MB) and maintain good
standing in FPA with no lapse in Institutional Membership.
- The firm supports FPA's commitment to pro bono
efforts, individually and organizationally, by providing
community service to the public in need.
