Broker Check

Code of Ethics and ADV

The Code of Ethics

As part of their certification, a CFP® professional agrees to a Code of Ethics that requires them
to:
• Act with honesty, integrity, competence and diligence.
• Exercise due care.
• Maintain the confidentiality and protect the privacy of client information.
• Act in the client’s best interests.
• Avoid or disclose and manage conflicts of interest.
• Act in a manner that reflects positively on the financial planning profession and CFP® certification.

The Fiduciary Duty

As part of their certification, a CFP® professional commits to CFP Board’s Fiduciary Duty. A CFP® professional commits to CFP Board that they will act as a fiduciary, and therefore, act in their client’s best interests, at all times when providing financial advice to a client.

That means your CFP® professional has made a commitment to CFP Board to:
1. Place your interests above their own interests, or the interests of their firm.
2. Disclose conflicts of interest to you, obtaining your informed consent and properly managing the conflict.
3. Continue to put your interests first, even when acting under a conflict of interest.
4. Comply with the terms of the client engagement and follow your directions, so long as they are reasonable and lawful.
5. Act with care, skill, prudence and diligence based on your goals, risk tolerance, objective, financial status and personal circumstances.

Form ADV

You may view and download a copy of our latest Form ADV here.

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