Principles of Professionalism

  1. The firm affirms and supports FPA's Institutional Member Code of Conduct (PDF | 1.3MB), Core Beliefs, and FPA's Standard of Care.
  2. The firm actively promotes and advocates the financial planning process as championed by FPA.
  3. 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.
  4. The firm actively encourages all its advisers who hold themselves out as financial planners to maintain membership in FPA.
  5. 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.
  6. 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.
  7. 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.
  8. 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.
  9. The firm supports FPA's commitment to pro bono efforts, individually and organizationally, by providing community service to the public in need.

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