AAFM
--CWM Chartered Wealth Manager, CAM
Chartered Asset Manager , MFP Master
Financial Professional , CTEP Chartered
Trust and Estate Planner American Academy
of Financial Management & Analysts
"AAFM"
www.financialcertified.com
Licensed, chartered, and certified after
meeting all standards of education,
testing, ethics, experience, and continued
education. A designation for individuals
who manage money for high value customers
as brokers, investment advisors, or
trust officers. |
|
AAMG
-Accredited Asset Management Guru.
A designation awarded by the College
for Financial Excellence upon completion
of a 11-module study program and a
comprehensive final exam.
|
|
AEP- Accredited Insurance Salesman.
A credential awarded by the National
Association of Estate Planners and
Salespeople to estate planning practitioners
who complete a comprehensive exam
grounded and trust, insurance, accounting,
and law, and need annual education
requirements. About 1,200 members
are holding licenses. A credential
awarded by the National Association
of Estate Planners and Councils to
estate planning practitioners who
complete a comprehensive exam grounded
and trust, insurance, accounting,
and law, and need annual education
requirements. About 1,200 members
are holding licenses. |
|
AFC- Accredited Financial Counselor.
A designation awarded by the AFCPE,
primarily to academic military or
extension persons who pass an exam
and experience requirements. AFC Accredited
Financial Counselor. A designation
awarded by the AFCPE, primarily to
academic military or extension persons
who pass an exam and experience requirements.
|
|
ATA Accredited Tax Advisor--National
Society of Accountants and Accreditation
Council for Accountancy and Taxation-
703-549-2228 Awarded to tax professionals
who complete educational, examination,
and experience requirements. CE is
required. Accreditation Council for
Accountancy and Taxation 703-549-2228
A designee who has completed six courses
through the College for Financial
Planning. The ATA designation is granted
by the Accreditation Council for Accounting
and Taxation (ACAT). |
|
ATP -Accredited Tax Preparer. A designee
who has completed a one module program
through the College for Financial
Planning. The ATP designation is granted
by the ACAT also. Also, A designee
who has completed a one module program
through the College for Financial
Planning. The ATP designation is granted
by the ACAT also. National Society
of Accountants and Accreditation Council
for Accountancy and Taxation 703-549-2228
Awarded after completing educational,
examination, and experience requirements.
CE is required. Accreditation Council
for Accountancy and Taxation 703-549-2228
|
|
CEA -Certified Estate Advisor. Students
must complete and pass an exam. Currently
90 members. A designation awarded
by the National Association of Financial
and Estate Planning. Watch out!!!
These guys want you to sign a contract
and sell stuff. If you sign up to
sell their products, then you can
use their designations. Sounds like
a great Multi Level Operation!
|
|
CEBS -Certified Employee Benefit Specialist.
This credential is gained by completing
a 10-course program. The courses cover
every aspect of employee benefit package
development. Organizational and financial
areas are discussed. No license is
required unless a participant gives
advice on policies. Enrollees include:
may be: bankers, attorneys, government
employees, accountants, insurance
company representatives, agents, actuaries,
trust fund managers, benefit personnel
and anyone interested. In Canada and
the U.S., there are over 8,000 graduates
of the program. |
|
CEC
Certified E-Commerce Consultant
This is a business & financial graduate
certification for specialists in the
e-commerce management field. This
designation is from the IIPA International
Institute of Professional Analysts.
These guys run internet companys and
really know stock options. Candidates
are granted the CEC after completing
experience in WWW/Internet, skill
sets in listed areas, courses, an
ethics agreement, and other work in
CE. This is becoming the hottest designation
for web and business/financial consultants.
|
|
CEP-Certified Estate Planner-Yes it
is out there and popular with the
CPA crowd. They also offer the CRP-certified
retirement planner.The designations
are offered by The National Institute
for Excellence in Professional Education,
LLC utilizing top quality Surgent
and Associates course materials. The
Certified Estate PlannerTM course
is another designation. The Certified
Estate PlannerTM (CEP) or the Master
Certified Estate Planner (MCEP) is
available. |
| Certified
Estate Planning Wizard may be trademarked
but may be a private designation.
We will keep looking.
|
|
CAM Chartered Asset Manager"CAM
Designations" |
|
MFP Master Financial Professional"MFP
Designations" |
|
CWM Chartered Wealth Manager "CWM
Designations" |
|
CTEP Chartered Trust and Estate Planner"CTEP
Designations" |
| CPM
Chartered Portfolio Manager
- Awarded by meeting the experience,
education, ethics, professional, and
testing requirements. |
| MFP
Master Financial Professional-Offered
by the Master Financial Professional
Board of Standards--An International
Organization not based in the USA.
Must Meet Education and Experience
and Testing and Ethics. Alliance
with 560 of the top business schools
worldwide of which this MFP credential
is offered.
Try http://www.financialcertified.com
"MFP
Designations" Meet requirements
to become an international financial
professional. |
|
CFC-Certified Financial Consultant-Offered
by the Institute of Financial Consultants--An
International Organization not based
in the USA. Must Meet Education and
Experience and Testing and Ethics.
Meet requirements of experience, study,
education, focus on finance, financial
analysis, investment management, estate
planning, and banking. Highly regarded
at an international level. Sort of
the international financial planner
designation. |
|
CFC-Certified Financial Consultant--Here
is a another one from the Institute
of Financial Consultants.
Try "CFC & Institute of Financial
Consultants"
Meet requirements of experience, study,
education, focus on finance and banking.
Excellent organization that requires
diverse knowledge of investments,
tax, banking, financial planning,
finance, insurance and retirement,
and estate planning. This credential
is for investment advisors, officers,
trust and banking officers, financial
advisors, financial counselors, financial
managers etc. You can earn the CFC
along with the MIFC designation.
|
|
Certified Financial Counsellors? --CFC
may or may not be out there.
|
|
CFM-Certified Financial Manager-another
financial planning designation which
is probably given by the same people
as the CMA which is the Certified
Managerial Accountant. The CMA and
CFM may be from a Canadian Organization.
This also might be a designation that
Merrill Lynch is granting to its brokers
after they take a few classes and
a quiz. "CFM & CMA" Try |
|
CMA/FAD
-Registered Financial Analyst Designate
--American Academy of Financial Management
Analyst. For Bankers, Trust Officers,
Money Managers, CFO and CEO types.
Must meet experience and education
requirements. |
|
RFA™- Registered Financial Analyst
Designate--American Academy of Financial
Management & Analysts--International
Institute grants this to qualified
financial managers after meeting education,
ethics, testing, reference, and knowledge
criteria. See http://www.aafma.com--Becoming
the new financial analyst favorite
designation. This is not too difficult
to get if you already have a CPA,
Law degree, MBA, or financial analyst
background. |
|
CFP™-
Certified Financial Planner. This
person has completed an approved educational
curriculum with five or more exams,
passed two additional certifying exams,
meets continuing education requirements
of 15 hours per year, and is licensed
by the CFP™
Board of Standards. Over 30 thousand
insurance sales persons and brokers
have this license. CFP™
Certified Financial Planner Certified
Financial Planner Board of Standards,
Inc. Licensed and certified after
meeting extensive educational requirements
(many never took the comprehensive
exam so beware!) by the College for
Financial Planning or another approved
educational program. A bachelors degree,
examination and experience requirements
must also be met. All graduates must
complete CE requirements, complete
an ethics update, and pay a license
fee to maintain this designation.
Certified Financial Planner Board
of Standards, Inc. |
|
CFS -Certified Funds Specialist. This
credential is given and sponsored
by its own private company, but is
regulated. After enrolling in the
program, participants complete a 60-hour
self-study course and take a two-hour
final exam. All materials and testing
supplies cost . There are currently
5,000 people with this designation.
The Institute of Business and Finance
offers this designation. Also The
CFS is described as: CFS -Certified
Fund Specialist Institute of Business
and Finance 800-848-2029 Awarded after
completing educational, examination
and experience requirements in the
area of mutual funds. CE is required.
Institute of Business and Finance
800-848-2029
|
|
ChFC -Chartered Financial Consultant.
Has completed an educational program
offered by The American College, passed
10 exams covering financial planning,
investments and insurance. Has also
met experience and ethical standards
and achieves continuing education
requirements of 15 hours yearly. About
31,000 happy insurance agents have
received the ChFC designation.
|
|
CIC-Certified Insurance Consultant
or Counselor-is a designation that
may be out there too.
|
|
CIMA - Certified Investment Management
Analyst--Investment Management Consultants
Association Awarded to investment
consultants who complete educational,
examination, and experience requirements.
CE is required Investment Management
Consultants Association. This is a
well organized association giving
classes at the Wharton School of Business.
Mainly for fee based advisors, financial
managers, investment counsel, and
trust officers. 303-770-3377
"IMCA"
|
|
CIMC -Certified Investment Management
Consultant. The Institute for Investment
management Consultants awards this
credential to financial advisors who
pass two levels of NASD-administered
exams. The IIMC's self-study course
is what the exam is based on and it
covers Investment Theory and the Management/Elements
of Investment Consulting.
|
|
CLU -Chartered Life Underwriter--
The American College- Chartered Life
Underwriter.- Has completed an educational
program offered by The American College,
passed 10 examinations covering the
application of life and health insurance
in filling needs for survivor income,
estate planning, business continuation
and employee benefits. Has also met
experience and ethical standards and
achieves continuing education requirements
of 15 hours yearly. About 83,000 happy
insurance agents have received the
CLU designation.
|
|
CMA
CHARTERED REGISTERRED MARKET ANALYST
or Financial Analyst Designate.
Information for Management
Accounting. www.certifiedmanagementaccountant.org |
|
CMFC -Chartered Mutual Fund Counselor.
A nine-module program must be completed
by graduates, with an examination
given by the College for Financial
Planning. A code of ethics must be
followed. Taking this course will
normally qualify for CE requirements
as well as continuing education. CMFC
Another one of the many certifications
from the College for Financial Planning
303-220-4800 and Investment Company
Institute Awarded to mutual fund professionals
who completed course work and an examination.
This program can earn professionals
CE credits.
|
|
CPA -Certified Public Accountant-
Individual State Boards of Accountancy
212-596-6200 Licensed after completing
the Uniform CPA Examination, state
work experience, educational requirements,
and statutory requirements. CE is
required. State Board of Accountancy.
Has met educational qualifications,
such as a bachelors degree in accounting,
passed certifying examinations and
met experience qualifications in the
area of public accounting. Many CPAs
are getting the PFS which is a tack
on designation for financial studies.
|
|
CPCU- Chartered Property Casualty
Underwriter. The AICPCU awards this
property and insurance designation
to those who passed a series of 10
national exams, met requirements and
pledge to keep a code of professional
ethics.
|
|
CPhD- Certified Philanthropic Development.
A professional designation awarded
by the National Association of Charitable
Estate Counselors. Participants must
complete a course of study, examination,
present a record of successful philanthropic
activity and have a commitment to
pursue philanthropic counseling. Several
hundred CPhDs have been awarded this
designation. Do you call these guys
Doctor?
|
|
CPM-Certified Portfolio Manager----We
are looking for the group that awards
this too.
|
|
CRPC- Chartered Retirement Planning
Counselor. A person who has completed
an 11-module course from the College
for Financial Planning, which culminates
in a comprehensive final exam. The
course focuses on assisting individuals
with selecting and using retirement
plans effectively. Another designation
from the College for Financial Planning
303-220-4800 Awarded to retirement
planning professionals who completed
course work and an examination. This
program can earn professionals CE
credits.
|
|
CRPS- Chartered Retirement Plans Specialist.
A person who has completed a 10-module
course from the College for Financial
Planning culminating with a final
exam. The course focuses on plan design
and features. Another one of the many
designations granted by The College
of Financial Planning 303-220-4800
Awarded to retirement professionals
who completed course work and an examination.
This program can earn professionals
CE credits.
|
|
CTEP-Certified
or Chartered Trust and Estate Planner-
A premier designation for Financial
Advisors, CPA's, Trust Officers, Portfolio
Managers etc. You can get this credential
quickly if you have over 2 years of
estate planning experience. See http://www.financialcertified.com
|
|
CTFA-- Certified Trust and Financial
Adviser. The Institute of Certified
Bankers awards this designation. Recipients
must meet educational requirements,
pass exam, and pledge to meet continuing
education requirements in the future.
Designees have studied tax law, investments,
personal finance and fiduciary responsibilities.
These are mainly trust officers. A
three year deal for 2 weeks each year
we think.
|
|
EA -Enrolled Agent. A designation
is awarded by the Internal Revenue
Service (202 662 5000) to individuals
who wish to represent persons before
the IRS. Persons must pass a comprehensive,
IRS two-day exam on all aspects of
tax law, including filing procedures.
EA Enrolled Agents U.S. Treasury Department
Income tax specialists who pass an
Internal Revenue Service Exam or have
five years audit experience with the
IRS. Internal Revenue Service Director
of Practice 202-401-6221
|
|
ELS --Estate Law Specialist. This
specialization program for attorneys
has been approved by the American
Bar Association is only two years
old. Participants must pass exam,
present CLE credits, have documentation
of education, have work experience
and must have references from other
attorneys in the financial planning
field. Currently only eight participants
have completed the ABA Estate Law
Specialist program.
|
|
GFA-Global Financial Analyst--Yes
you got it. This may be out there
too. So, keep your eyes open.
|
|
JD- Juris Doctor- is a graduate from
a law school. JDs can become an attorney
licensed to practice law within a
state or multiple states after completing
the required hours for a JD. Some
state Bar Associations have authorized
specialties, many state bar associations
are granting board certifications
in estate planning or tax. JD Requires
admission to law school, 30 or so
exams, a cummulative state exam to
become a licensed attorney who may
counsel individuals on the law, multi-state
ethics exam, and continuing education
along with extensive background and
criminal checks. "American
Bar Association"
|
|
LLM- Masters in Law- Normally in taxation
or estate planning but an LLM can
be in general law, maritime, international
issues "so ask what the LLM focus
work was". This is awarded to attorneys
that have completed additional schooling
at an accredited graduate school after
becoming a licensed to practice law.
A JD with a LLM or MBA in Tax or Estate
Planning is a great background for
investments or financial planning.
|
|
LUTCF- Life Underwriter Training Council
Fellow. Awarded to persons in the
life insurance industry who have completed
a series of study/work courses in
the application and service of life
and health insurance. About 60,000
have completed these requirements.
|
|
MBA--Master of Business Administration.
This is the traditional way to learn
about finance. See if your advisor
has a finance or accounting major.
Some Universities offer an MBA with
concentrations in financial planning
and estate planning. In many cases,
this can be better than a LLM, CFP™,
CHFC, or CFA
MFP
MASTER FINANCIAL PLANNER
|
|
MS- Master of Science. Or MSFS Master
of Science in Financial Services.
This is an educational degree, similar
to an MBA, with concentration on personal
financial planning, investment and
taxation. MS degrees have been offered
for years by major universities and
colleges. Over the years, The American
College and the College for Financial
Planning have joined the institutions
that award this postgraduate degree
and they focus on financial services.
|
|
PFS -Personal Financial Specialists.
A number of CPAs have also taken additional
financial planning study and are accredited
as Personal Financial Specialists.
About 2,450 CPAs have acquired the
PFS designation. Participants must
pass an exam and already be a CPA.
Also, they must have experience in
financial planning before being allowed
to take test.
PFS Personal Financial Specialist-
American Institute of Certified Public
Accountants- 800-862-4272- Awarded
to CPAs who become an AICPA member,
pass a comprehensive financial planning
examination and fulfill work experience
requirements. CE is required. American
Institute of Certified Public Accountants
800-862-4272 Sounds like a greasy
way for tax guys to sneak into the
business and put more letters after
their names.
|
|
REBC -Registered Employee Benefits
Consultant. Completes five examinations
on the installation and administration
of group employee benefit plans. Must
comply with experience, ethics and
experience requirements, plus 15 hours
of CE yearly administered by the American
College. Over 500 hold designation.
|
|
RFA -Registered Financial Associate.
Has completed an undergraduate curriculum
in financial planning and counseling
from an accredited institution. The
RFA must meet requirements of ethics
and a significant annual continuing
education of 40 hours yearly. After
three years, an RFA may apply for
conversion to RFC. A new designation
with about 100 designees.
|
|
RFC -Registered Financial Consultant
International Association of Registered
Financial Consultants 800-532-9060
Awarded after becoming an IARFC member
and completing education and experience
requirements. Also must have met licensing
requirements for securities and life
and health insurance. CE is required.
International Association of Registered
Financial Consultants 800-532-9060
Has a professional financial planning
designation or has passed a comprehensive
RFC examination. Meets requirements
of experience, ethics, licenses and
a significant annual continuing education
of 40 hours yearly. About 1,500.
|
|
RFP -Registered Financial Planner-
Registered Financial Planner Institute-
440-282-7176 Awarded after becoming
an RFPI member, and completing education
and experience requirements. One of
the best financial planning specialty
designations for estate planning,
insurance, investments, real estate,
and tax.. This is also a international
organization. The RFP has reasonable
fees in comparison to the others who
really stick you for annual dues,
fees, and other. "RFPI"
|
|
RHU -Registered Health Underwriter.
Completes three examinations on the
use and application of disability,
health, medical and long term insurance.
Must comply with experience, ethics
and experience requirements, plus
15 hours of CE yearly administered
by the American College. About 5,700.
|
|
RIA-Registered Investment Adviser-
Securities and Exchange Commission
(SEC) or state securities administrators
800-732-0330 Indicates registration
with the SEC or with one or more of
the states. Many brokers with series
63, and 7 will eventually take the
RIA exam (series 65). No examination
or continuing education is required
for a business to file for the RIA
with the SEC, but an individual with
a broker-dealer must take the exam.
States have different requirements.
Securities and Exchange Commission
(SEC) 800-732-0330 or State Securities
Commission RIA- Not a professional
designation. A Registered Investment
Adviser (sic) is a person or firm
that has filed with the Securities
and Exchange Commission and adheres
to certain disclosure requirements.
This qualification is necessary for
the rendering of investment advice.
Investment Advisers who manage less
than million are generally state registered.
"SEC
Securities and Exchange Commission"
|
|
FINANCIAL PROFESSIONAL ORGANIZATIONS
These professional organizations may
be of value to you, even if you are
not a member. For example, the Million
Dollar Round Table offers a wide variety
of educational and motivational materials,
which might be useful even to a fee-only
financial planner or a bank trust
officer. Please attach no significance
to the order or data. We will be happy
to add new groups and extend the references
- if readers will send us the data.
|
|
AALU Association for Advanced Life
Underwriting. A conference of NALU
for those agents who specialize in
estate planning and employee benefits.
Holds an annual meeting and is involved
in meeting with congressional committees
on relevant topics. About 3,000 members.
|
|
ABA American Bar Association. Established
in 1878, this organization is for
attorneys and others in law-related
fields. About 33,000 attorneys are
a part of the ABA's Real Property
Probate and Trust Section. Financial
planners often need attorneys for
advice in estate, business, trust
and tax areas.
|
|
AFCPE Association for Financial Counseling
and Planning Education. This international
organization was founded by a group
of students and academicians in 1979.
Members include financial counselors,
planners, educators in private practice,
academic, state cooperative extension
specialists and educators, and military
and government personnel. This association,
with about 600 members, offers the
designation AFC (Accredited Financial
Counselor) by way of an examination,
experience and recommendation.
|
|
AFS Academy of Financial Services.
An international academic organization,
the AFS holds annual meetings where
CE can be earned. Financial planners
are invited to speak and faculty members
present papers. The organization is
made up of faculty from different
colleges who teach individual personal
finance and financial planning. Other
members include financial planners,
financial consultants and other professionals.
Currently there are 450 members of
the AFS.
|
|
AIB American Institute of Banking.
A service of the American Bankers
Association, it provides training
and education for bankers. Masters
and undergraduate degrees are both
offered. Professional seminars, an
Internet Masters Program and courses
and a "College on a Computer" program
are also offered. An International
Training Center is also available.
|
|
AIMR Association for Investment Management
Research. Provides a variety of services
to investment managers. Also administers
the CFA education and designation
program. It has 80 chapters worldwide
and over 30,000 investment professional
members.
|
|
American The American College is a
non-profit academic institution located
Bryn Mawr, College PA that offers
several professional financial education
programs, including CLU, ChFC, RHU,
REBC and AEP. The first five parts
of the ChFC curriculum also qualify
for the academic portion of the CFP™
requirements. The College also offers
Masters degrees in Financial Services
and Financial Management.
|
|
CAFP Canadian Association of Financial
Planners. Awards the RFP designation
to Canadian planners who may have
another educational qualification,
such as CFP™.
An RFP must submit to an additional
comprehensive examination and review
of a financial plan. About 2,400 RFP
members
|
|
CAIFA Canadian Association of Insurance
and Financial Advisors. This association
is the Canadian corollary to NALU.
Holds an annual conference, ten schools
and over 180 CE qualifying seminars
each year. The CAIFA has about 18,000
members and 59 chapters in Canada.
It offers Canadian courses leading
to the following designations: CFP™,
CLU, ChFC, REBC and RHU.
|
|
CIFP Canadian Institute of Financial
Planning. Administers the CFP™
educational program in Canada, under
license from the CFP™
Board. It is the longest operating
correspondence course of its kind
in Canada. Six courses, each with
their own exam, are required. CFP™
licensees must complete a comprehensive
proficiency exam and have two years
work experience in financial planning.
Continuing Education is then required
on an annual basis.
|
|
CFP™
CFP™
Board of Standards. (Formerly IBCFP)
This organization grants Board CFP™
license to persons who have completed
an educational curriculum, have passed
the CFP™
Boards certifying exam, and have met
ethics and practice standards. The
Board requires 15 hours yearly of
continuing education in order to retain
the CFP™
license. Over 30 thousand persons
in the U.S. hold the CFP™
designation.
|
|
College College for Financial Planning.
An academic institution located in
Denver for that offers a variety of
professional financial education programs,
including a Financial course that
qualifies the students to sit for
the CFP™
Board's licensing exam.
|
|
Planning Now a for-profit institution,
the College is now part of the Apollo
Group. The five CFP™
preparation courses include subjects
such as: insurance, tax, assets, mutual
funds, and retirement planning. The
College offers a Masters of Science
degree in Financial Planning. The
College also offers the ATP, ATA,
AAMS, CRPC and CRPS designations.
|
|
CFTC Commodity Futures Trading Commission.
Created by Congress in 1974, the CFTC
registers firms and individuals through
the National Futures Association,
and is responsible for ensuring the
economic utility of future markets.
|
|
IBF Institute of Business and Finance.
The IBF's objectives are to enhance
the professionalism of the financial
service industry, to serve persons
who deal with this industry and to
offer quality education. To enroll
persons must have a high school diploma
or GED and complete application. The
Institute offers programs to earn
designations CFS, BCS, BCE, BCI, BCM
and BCF.
|
|
ICFP Institute of Certified Financial
Planners. A professional membership
organization for CFP™s.
Has local societies in many major
cities or states. The ICFP holds an
annual meeting, a practice management
conference, a retreat for master members
and a weeklong residency for new entrants.
About 15,000 members. The ICFP and
the IAFP are discussing a merger.
|
|
IIMC Institute for Investment Management
Consultants. With approximately 1000
members, the IIMC has 15 chapters
with 12 twelve more in the works.
Memberships are divided into two categories:
corporate and consultant. Most members
already hold several professional
designations. An educational facility,
it holds two conferences a year, offers
benefits and discounts to members,
and sells software.
|
|
IAFP International Association for
Financial Planning. A general membership
trade organization. Has local chapters
in major cities. Also has a broker/dealer
division for participation of investment
firms. Conducts three annual conferences
and offers a wide variety of publications,
cassettes and books. About 16,000
members.
|
|
IARFC International Assn. of Registered
Financial Consultants. A professional
membership group for Registered Financial
|
|
Consultants (RFC). Provides two continuing
education conferences: one on a week
cruise and the other held at a college
campus of an institution that offers
a financial planning curriculum. The
IARFC provides practice management
oriented benefits to its members.
About 1,300 members.
|
|
ICI Investment Company Institute.
This national association is the association
of the investment company industry.
Established in 1940, its members represent
63 million individual shareholders.
Its membership includes 10 sponsors
of unit investment trusts, 447 closed-end
funds and 7,271 mutual funds. The
ICI represents its members in aspects
of statistics, business operations,
policy research, regulation, taxation,
legislation economic research and
public information.
|
|
MDRT Million Dollar Round Table. An
organization of the elite producers
of life insurance. Membership is based
on production requirements that are
adjusted annually. About 66% of membership
are U.S. Those with greater production
may qualify for Court of the Table
or Top of the Table. Holds an annual
conference with 5,000 members attending
and produces a variety of productivity
aids for the members. About 18,000
members.
|
|
NACEC National Association of Charitable
Estate Counselors. A non-profit group
of 1500 financial advisors, a portion
of who have been granted the CPhD
designation. They member now with
the National Heritage Foundation,
an umbrella, nationally chartered
foundation that promotes philanthropy
by permitting donors to establish
sub-foundations into their specific
interests. About 500 sub-foundations
have already been established and
founded.
|
|
NAEP National Association of Estate
Planners and Councils. Each professional
must complete an exam in his or her
specialty. About 1,200 members. The
NAEP will introduce a new program
format its national conference in
November.
|
|
National Association of Global Finance
and Estate Planning and Fraud Examination.
www.fraudexaminercertified.com
|
|
NAIC National Association of Insurance
Commissioners. The NAIC, established
in 1871 by state insurance commissioners,
provides a level of uniformity among
individual states' regulatory activities,
serves as a clearing house for information
among each state, develops exceptional
regulatory legislation to be approved
by each state, and organizes political
unity among the insurance commissioners
of each state.
|
|
NALU National Association of Life
Underwriters. A U.S. based association
of life insurance agents. Coordinates
with state associations and local
associations in over 300 cities. Represents
the agents in various respects. Holds
a national annual conference and states
hold similar events, usually of shorter
duration. About 108,000 members.
|
|
NAPFA National Association of Personal
Financial Advisors. An association
of financial advisors who do business
only on a fee basis, accepting no
commissions. Licenses the use of "Fee-Only"
trademark for its members. Hold annual
and regional conferences. About 480
members.
|
|
NASAA North American Securities Administrators
Association. NASSA is the national
organization representing 65 securities
administrators from all 50 states,
the District of Columbia, Canada,
Mexico, and Puerto Rico, and is responsible
for investor protection and regulatory
oversight of the securities industry.
NASAA recommends national policies
in the securities industry and provides
model legislation for state securities
agencies to adopt affecting the regulation
of financial planners and investment
advisers. Serves as co-regulators
of the securities industry with the
SEC and work to protect the interests
of all investors in the securities
markets, particularly small or individual
investors.
|
|
NASBA National Association of State
Boards of Accountancy. NASBA, established
in 1908, is the national organization
of 54 state boards of accountancy
in the U.S., the District of Columbia,
Guam, Puerto Rico and the Virgin Islands.
NASBAs purpose is to enhance the effectiveness
of state boards of accountancy. It
encourages cooperation among the individual
state boards of accountancy, analyzes
major issues affecting the boards,
and fosters relationships with organizations
that impact the regulation of public
accounting.
|
|
NASD National Association of Securities
Dealers. The NASD is the largest securities-industry
self-regulatory organization in this
country. Through its subsidiaries,
NASD Regulation, Inc., and The Nasdaq
Stock Market, Inc., the NASD, provides
a dispute resolution forum, develops
rules and regulations, holds regulatory
reviews of member activities, and
creates, operates and regulates securities
markets for the benefit of investors.
The NASD manages the nations- 5,500
plus brokerage firms and more than
553,000 registered brokers. Once registered
with the NASD you are subject to their
rules, regulations, fines, conduct,
binding arbitration, and disipline.
Thus, you are federally registered,
regulated, and watched.
|
|
NFA National Futures Association.
A Congressionally authorized self-regulatory
organization of the futures industry,
the NFA is completely financed by
the futures industry. No individual
or firm may engage in any business
that involves buying or selling futures
contracts publicly without being a
member. The mission of the NFA is
to maintain high standards of business
conduct by its members and to protect
the interest of the people.
|
|
SEC Securities and Exchange Commission.
An independent, quasi-judicial U.S.
government agency, the SEC was created
by the Securities Exchange Act of
1934. Its mission is to administer
laws in the securities field and to
protect investors and the public in
securities transactions. The SEC has
the authority to audit Registered
Investment Advisers and registered
representatives and bring enforcement
actions against them if it believes
they are violating any securities
acts or other federal securities laws.
Currently, 7,000 Registered Investment
Advisers are registered with the SEC.
|
|
SFSP Society of Financial Service
Professionals, formerly the American
Society of CLU & ChFC. A professional
membership organization with continuing
education and ethical practice requirements.
Members may hold designations as CLU,
ChFC, REBC or RHU. Some are specialists
in per-sonal financial planning, others
in employee benefits, brokerage, law,
accounting, business insurance or
estate and business planning. It has
sections for various specialties and
local chapters in all major cities.
SFSP has about 32,000 members.
|
|
TAN The Advisor Network. A national
group, TAN has 250 members and still
is growing. To avoid local competition
and have geographic diversity, TAN
limits membership to only one member
per town or city. Its monthly publication,
TAN MEMBER NEWS includes articles
submitted by the TAN members along
with their current market positions
and favorite securities. It references
any member who has been quoted, published
or had appeared on television.
|
|
Contact
and Address Information
|
| Asian
Wealth Management and Finanical Planning
Federation: Singapore
|
|
Academy of Financial Services- Dept.
of Finance & Real Estate Colorado
State University Ft. Collins, CO 80523
V: 970 491 0610 F: 970 497 7665 "AFS"
www.vakron.edu/cba/fsr
|
|
American Academy of Financial Management
- Executive Offices-Membership Committee
World Trade Center New Orleans USA
"AAFM"
Rep. Offices in Hong Kong, Dubai,
US, Mexico, Singapore, Beijing, Zurich
and more.
|
|
American Bar Association 750 N Lakeshore
Dr. Chicago, IL 60611 V: 312 988 5000
F: 312 988 6281 "ABA" www.abanet.org
|
|
The
China Wealth Management Training Centers
and Federation
|
|
American Institute of Banking 80 Maiden
Lane New York City, NY 10036 V: 212
480 3200 F: 212 480 3705 "AIB" www.aibny.edu
|
|
American Institute of Certified Public
Accountants Personal Financial Planning
Division 1211 Avenue of the Americas
New York, NY 10036-8775 V: 800 862
4272 F: 800 362 5066 "AICPA" www.aicpa.org
American Society of CLU & ChFC (renamed,
see SFSP)
|
|
China
Wealth Management Association Hong
Kong China
|
|
Association of Financial Counseling
and Planning Education 2121 Arlington
Ave. Upper Arlington OH 43221 V: 614
485 9650 F: 614 485 9621 www.afcpe.org
|
|
Assn. for Investment Management Research
5 Boars Head Lane Charlottesville,
VA 22903 V: 804 980 3668 F: 804 980
9755 "AIMR" www.aimr.org
|
|
India
Federation of Wealth Management and
Financial Planning
|
|
Global Assn of Intl Financial Advisors
- www.certifiedfinancialadvisor.org
|
|
Canadian Institute of Financial Planning
151 Yonge Street, 5th Floor Toronto,
Ontario, Canada M5C 2W7 V: 416 865
1237 F: 416 366 1523 www.multifunds.com/cifp
|
|
Certified Financial Planner Board
of Standards 1700 Broadway Suite 2100
Denver, CO 80290-2101 V: 303 830 7500
F: 303 860 7388 www.cfp-board.org
|
|
College for Financial Planning 4695
S. Monaco Street Denver, CO 80237-3403
V: 303 220 1200 F: 303 220 0838 "CFP™-College"
www.fp.edu
|
|
Commodity Futures Trading Commission
3 Lafayette Centre 1155 21st Street,
N.W. Washington, DC 20581 V: 202 418
5000 F: 202 418 5538 www.cftc.gov
|
|
Institute of Business and Finance
7911 Herschel Ave. Suite 201 La Jolla
CA 92037-4413 V: 800 848 2029 F: 619
454 4660 www.icfs.com/icfs
|
|
Institute of Certified Financial Planners
3801 E. Florida Avenue Suite 708 Denver,
CO 80210 V: 303 759 4900 F: 303 759
0749 www.icfp.org
|
|
Institute of Financial Analysts www.certifiedfinancialanalyst.org
|
|
International Association for Chartered
Accountants www.charteredaccountant.us
|
|
General Accounting Information: www.certifiedgeneralaccountant.org
|
|
Investment Company Institute 1401
H St. NW Washington, DC 20005 V: 202
326 5800 F: 202 326 5985 www.ici.org
|
|
Finance and Life Insurance Marketing
Association www.marketingfirm.org
|
|
Financial and Project Management Academy
www.projectmanagementcertification.org
|
|
National Assn. of Estate Planners
& Councils 270 S. Bryn Mawr Avenue
Bryn Mawr, PA 19010-2195 V: 610 526
1389 F: 610 526 1224 www.naepc.org
|
|
Nat'l Assn of Financial And Estate
Planning 525 East 4500 South, Suite
F-100 Salt Lake City, UT 84107 V:
801 266 9900 F: 801 266 1019 www.nafep.com
|
|
Nat'l Association of Insurance Commissions
120 W 12th St, Suite 1100 Kansas City,
MO 64105 V: 816 842 3600 F: 816 471
7004 www.naic.org
|
|
Latin
America and South American Federation
of Wealth Management, Financial Planning
and Estate Planning.
|
|
Nat'l Assn of Personal Financial Advisors
355 West Dundee Road Suite 200 Buffalo
Grove, IL 60089 V: 847 537 7722 F:
847 537 7740 www.napfa.org
|
|
National Association of Securities
Dealers 1735 K St. NW Washington,
DC 20006 V: 202 728 8000 "NASD"
www.nasd.com
|
|
National Association of State Boards
of Accountancy 150 Fourth Ave. N Suite
700 Nashville, TN 37219 V: 615 880
4200 F: 615 880 4290 "NASBA" www.nasba.org
|
|
National Center for Financial Education
P. O. Box 34070 San Diego, CA 92163-4070
V: 619 232 8811 F: 619 297 3076 "NCFE"
www.ncfe.org
|
|
International Business School Graduate
Academy of Finance. www.internationalbusinessschool.org
|
|
National Futures Association 200 W
Madison St Chicago, IL 60606 V: 312
781 1200 F: 312 781 1459 "NFA" www.nfa.fututes.org
|
|
National Heritage Foundation (NACEC)
6218 Beachway Drive Falls Church,
VA 22041 V: 800 986 4483 F: 703 820
5100 "NHF" www.nhf.org
|
|
North American Securities Administrators
10 G St. NE, Suite 710 Washington,
DC 20002 V: 202 737 0900 F: 202 783
3571 "NASAA" www.nasaa.org
|
|
Securities and Exchange Commission
450 Fifth St. Washington, DC 20549
V: 202 942 7040 F: 202 942 9634 "SEC"
www.se.gov
|
|
Society of Financial Service Professionals
270 Bryn Mawr Avenue Bryn Mawr, PA
19010 V: 610 526 2500 F: 610 527 4100
"SFSP" www.financialpro.org
|
|
The Advisor Network 5419 SW Scholls
Ferry Rd Portland, OR 97225 V: 503
297 5470 F: 503 297 8116 www.theadvisornet.com
|
| Financial
Publishers |
|
|
|
Dow Jones Financial Publishing Corp
Investment Advisor / Fee Advisor 179
Avenue at the Commons Shrewsbury,
NJ 07702 V: 732 389 8700 F: 732 389
6065
|
|
Net Financial Journal by AAFMA Including
Strategic Estate and Financial Planning
Tips from Lawyers and Planners www.financialjournal.8m.com
|
|
Financial Planning Magazine 40 West
57th Street, 11th Floor New York,
NY 10019 V: 212 765 5311 F: 212 765
6123
|
|
Inside Information P. O. Box 820 Mars
Hill, NC 28754 V: 828 689 4560 F:
828 689 9809
|
|
Insurance & Technology P.O. Box 1053
Skokie, IL 60076-8053 V: 800 255 2824
F: 708 647 2105
|
|
The Journal of the American Society
of CLU & ChFC P.O. Box 59 Bryn Mawr,
PA 19010-0059 V: 610 526 2500 F: 610
526 2538
|
|
Journal of Financial Planning 3801
E. Florida Avenue Suite 708 Denver,
CO 80210 V: 303 751 7600 F: 303 759
0749
|
|
Life Association News 1922 F Street
Washington, DC 20006 V: 202 331 6070
www.agents-online.com/lan
|
|
Life & Health Insurance Sales 98 Dennis
Drive Lexington, KY 40503 V: 606 277
6135 F: 606 277 8059
|
|
Life Insurance Selling 330 N. Fourth
Street St. Louis, MO 63102 V: 314
421 5445 F: 314 421 1070
|
|
Planning Matters IAFP, Suite B-300
5775 Glenridge Drive, NE Atlanta,
GA 30328-5364 V: 800 945 4237 F: 404
845 3663
|
|
Ticker Magazine 1633 Broadway, 38th
Floor New York, NY 10019 V: 212 333
3400 F: 212 333 7566 ticker@individualinvestor.com
|
