CFP Board Imposes Public Discipline
Disciplinary actions relate to 24 current or former CFP® professionals
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WASHINGTON, Jan. 19, 2021 /PRNewswire/ Certified Financial Planner Board of Standards, Inc. (CFP Board) announced today public disciplinary actions against the following individuals, effective immediately or on the date noted in each case. Public disciplinary actions taken by CFP Board, in order of increasing severity, include Public Censures, Suspensions and Permanent Revocations. This release contains information about recent disciplinary actions relating to 24 current or former CFP® professionals. Of these actions, there are six Public Censures, 10 Suspensions, and eight Revocations.
Filed in Administrative, Faculty on January 15, 2021
Texas Tech University invites nominations and applications for an innovative and engaged leader to serve as the founding School Director of the forthcoming School of Financial Planning. The Department of Financial Planning at Texas Tech University is widely recognized as the leader in financial planning education. This reputation was earned through years of innovation and excellence in the field leading to the first and forthcoming School of Financial Planning. Faculty are nationally and internationally recognized for their accomplishments both in and out the classroom, students are actively involved and highly successful in national competitions, and many alumni are recognized leaders in the professional community. The School has a broad range of successful programs and is in constant pursuit of new opportunities that support its goals of solidifying financial planning as a highly desired and sought-after educational opportunity
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January 12, 2021 9:16 AM Kat Tretina - Forbes Advisor
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January 14, 2021 8:59 AM
Hiring a financial advisor is a great way to help you manage your money, set financial goals and plan for retirement. But if you’re just beginning your search for a financial adviser, you may need some help sorting through the variety of different professional titles used by different advisors. Let’s take a look at the most common types of advisor and what they can do for you.
What Is an Investment Advisor?
An investment advisor is a company or an individual who provides clients with investing advice and manages their investment portfolios. Whether you’re just starting out with a modest amount of money or you’ve already built up a six- or seven-figure portfolio balance, an investment advisor can help you choose the right securities and then manage them for you.
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WASHINGTON, Jan. 6, 2021 /PRNewswire/ Certified Financial Planner Board of Standards, Inc. (CFP Board) announced that it has imposed an interim suspension of the CFP® certification against William D. King, which was effective as of December 23, 2020.
On December 23, 2020, CFP Board imposed an automatic interim suspension temporarily suspending William D. King s right to use the CFP® certification marks pursuant to Article 2.1.b. of CFP Board s
Procedural Rules. Article 2.1.b. provides that: CFP Board Counsel, without action by a Hearing Panel or the Disciplinary and Ethics Commission, may deliver an Interim Suspension Order if Respondent…is the subject of Professional Discipline, as defined in Article 7.2, that resulted in a revocation, bar, or equivalent sanction. Article 7.2 states: A record from a…federal…governmental agency…imposing discipline upon Respondent ( Professional Discipline ) is conclusive proof of the existenc