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Why ETHICS Matter

 

 

 

 

 

 

 

 

 

 

 

 

When a financial advisor becomes a Certified Financial Planner™ he or she must abide by the CFP Board’s Code of Ethics and Standards of Conduct.  This is the list of “duties” required of a CFP; one of the most important duties is to act as a fiduciary.

Also:

  • Perform all actions with honesty, integrity, competence and diligence.
  • Always apply due care.
  • Protect a client’s privacy and confidentiality.
  • Only act in a client’s best interest.
  • Appropriately manage any conflicts of interest.
  • Maintain respect for the profession.

By complying with the above standards of practice,  the CFP is placing your interests above their own or their firm.  A CFP will follow your direction and the terms of engagement, within reason and lawfulness.  A CFP will act upon your direction; abiding by your risk tolerance, goals, objectives, financial status and personal circumstances.

If allegations are raised against a CFP professional® the Board will investigate the charges.  If a code has been violated by the CFP professional®, a hearing will be conducted and the person may  face disciplinary action, which could even include permanent loss of the CFP certification.

I am a Certified Financial Planner®, Certified Investment Management Consultant®, and an Accredited Investment Fiduciary.  Contact my office, Chestnut Investment Advisory in Erdenheim at 215.836.4880 or www.regardingyourmoney.com

I will gladly assist you with your financial situation.

 

 

Check the background of this financial professional on FINRA's BrokerCheck
Check the background of this financial professional on FINRA's BrokerCheck