Certifications and licensing

CFP Board is seeking to preserve "adversarial principles" in proceedings before its disciplinary and ethics commission.

The proposal mirrors FINRA's policy requiring annual continuing education.

State regulators' enforcement actions for 2021 reveal which scams pose the greatest risks to investors.

We asked what experienced planners wished they knew when they started out. Here's what they had to say.

In a rebuttal to the Board’s recently installed director of enforcement, John H. Robinson says Tom Sporkin is delivering more organizational spin at the expense of transparency and consumer interests.

Advisors with disciplinary histories who keep other registrations after leaving FINRA BrokerCheck are much more likely to commit infractions, researchers say.

Anyone can call themselves a wealth advisor these days. Here are credentials that count.

The organization’s new Thrive Center for Diversity will seek to address the lack of representation of race, ethnicity, age and sexual preference, in addition to gender disparities, in wealth management.

Even as the numbers improve, Black and Hispanic advisors are still vastly underrepresented within the industry.

Here are prep techniques and resources for candidates taking a test that can seem daunting.

One of the largest professional designation and training schools launched a program to award free tuition to at least 25 students in the next year.

“The face of our industry is typically not me,” says the Vanguard and DFA veteran. “I thought about how many young people that I could inspire. So I raised my hand.”

Which bank wealth management execs are at the top of their game, and how are they coping in the age of coronavirus?

I don't need outside credentials to bolster my credibility — I have my own.

These shortcomings were primarily due to “systemic, longstanding, governance-level weaknesses,” a new report says.

A Kingdom Advisors support group at LPL brings together representatives around the growing professional title.

A task force will issue recommendations to shore up the disciplinary process ahead of the board's November meeting. Here’s what advisors need to know.

Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.

The certifying body says it will no longer rely on advisors’ reports and it is convening a new task force to modernize enforcement.

Three-in-four clients say their advisor’s professional certifications are important to them. But that doesn’t mean they have any idea what they are.