Our Qualifications and Credentials

Our highly educated and knowledgeable staff of investment advisors and associates possess the highest certifications, designations, and licenses in the financial industry including:

CFA® (Chartered Financial Analyst®) Credential – the CFA charter, the most respected and recognized investment credential in the world, represents a tradition of upholding the highest standards of education and integrity in the investment profession. The charter is recognized globally by employers, investment professionals, and investors as the definitive standard by which to measure the competence, integrity, and dedication of serious investment professionals.

Recipients of the CFA charter have successfully completed the CFA Program, a graduate-level, self-study curriculum and a series of three intensive examinations taken sequentially, which, in total, takes most candidates between two and five years. Candidate surveys report that preparation for the three exams typically requires at least 900 combined hours of study. Only around one in five candidates who enroll in the CFA Program pass all three exams and meet the professional and ethical requirements to earn the charter. Earning the designation demonstrates mastery of the skills most needed for investment analysis and decision making in today’s fast-evolving global financial industry.

AIF® (Accredited Investment Fiduciary) – this specialization denotes that the advisor possesses the requisite knowledge to understand and implement a prudent investment process for Investment Stewards (defined as those people who manage an investment process). The AIF® mark is held by the Center for Fiduciary Studies.

CFP® (CERTIFIED FINANCIAL PLANNER™) – this certification denotes that the advisor has a demonstrated level of financial planning technical knowledge, experience in the field and holds to a client-centered code of ethics.  Certificants have demonstrated a working knowledge of counseling skills in addition to their financial planning knowledge. This designation was established and is enforced by the CFP Board.

ChFC® (Chartered Financial Consultant®) The ChFC® designation is composed of nine college-level courses that address all aspects of financial planning with a focus on the practical applications of those principles based on real-life case studies.

FINRA (formerly NASD) issued licenses

Series 6 – the Series 6 is a securities license entitling the holder to register as a limited representative and sell mutual funds, variable annuities and insurance premiums.

Series 7 – the Series 7 (also known as the General Securities Representative) license qualifies an individual to solicit, purchase, and/or sell all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts.

Series 9 and 10 – the Series 9 and 10 license qualifies an individual to supervise the purchase and sales of general securities and options.

Series 24 – the Series 24 license entitles the holder to supervise trades involving corporate securities, direct participation programs (DPP's) and investment company / variable contracts.

Series 53 – the Series 53 qualifies a financial professional to become a licensed municipal securities principal, which allows the supervision and management of sales of municipal securities, agency securities, and U.S. Treasury obligations by licensed broker/dealers.

Series 63 – the Series 63 license is issued to those who pass the Uniform Securities Agent State Law Examination. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act.

Series 65 – the Series 65 license qualifies a representative to act as an investment advisor and is held to a higher fiduciary standard of care.