Ethics

ETHICS

If you are interested in checking on the current licensing status of a financial planner, please click here to access a website to assist you in this process. If you are interested in reviewing the Rules and Principles of the Code of Ethics that Certified Financial Planners are required to adhere to, please click here.

The Financial Planning Association® (FPA®) connects those who need, support and deliver financial planning. The FPA believe that everyone is entitled to objective advice from a competent, ethical financial planner to make smart financial decisions. FPA members demonstrate a professional commitment to education and a client-centered financial planning process, pleaseclick here.

You can search for an investment adviser firm on this website and view that firm’s Form ADV. Investment advisers file Form ADV to register with the SEC and/or the states. The Form ADV contains information about an investment adviser and its business operations. Form ADV also contains disclosure about certain disciplinary events involving the adviser and its key personnel, please click here.