Our Financial Credentials

We are proud to have a team that is highly experienced and credentialed. Learn about each credential and which team members have obtained these credentials. 

Our Credentials
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Designations

Accredited Investment Fiduciary® (AIF)

The AIF designation is issued by the Center for Fiduciary Studies and is accredited by the American National Standards Institute (ANSI). The AIF designation is a professional certificate to assure that those responsible for managing or advising on investor assets have a fundamental understanding of the principles of fiduciary duty, the standards of conduct for acting as a fiduciary and a process for carrying out fiduciary responsibility. To obtain this designation, candidate must:

  1. Meet a combination of required education, industry experience and/or professional development
  2. Complete education courses
  3. Complete designation exam
  4. Maintain continued education annually to keep designation active

Team members (2): Zachary R. Mersberger, Donald C. Hammond

Certified Financial Planner® (CFP)

The CFP designation is issued by the Certified Financial Planners Board of Standards, Inc. To obtain this designation, candidate must:

  1. Meet requirements of a bachelors degree or higher from an accredited college and three years of full-time personal financial planning experience or the equivalent part-time experience 
  2. Complete the CFP program (or hold one of the qualified designations)
  3. Complete the certification exam
  4. Maintain continued education every two years to keep designation active

Team members (5): Joshua P. Mersberger, Andrea J. Zoeller, Donald C. HammondWilliam N. Morrison, John Ben Brazier

Certified Public Accountant (CPA)

The CPA license allows candidates to provide accounting services such as tax accounting, internal auditing, management accounting, financial accounting, and reporting. CPA candidates must pass the Uniform CPA Examination, a four-section, 16 hour assessment, to qualify for a CPA certificate and license (i.e., permit to practice) to practice public accounting. While the exam is the same no matter where it's taken, every state/jurisdiction has its own set of education and experience requirements that individuals must meet. Most states require at least a bachelor's degree to be eligible to become a CPA, including 150 credit hours with a concentration in accounting and at least 15 hours at the upper-division or graduate level. Most states/jurisdictions require at least two years of public accounting experience to maintain an active license.

Team members (2): William N. MorrisonJasen B. Dahm

Chartered Financial Analyst® (CFA)

The CFA designation is issued by the CFA Institute. The CFA Program is firmly grounded in the knowledge and skills required every day in the investment profession. This program covers ethical and professional standards, securities analysis and valuation, international financial statement analysis, quantitative methods, economics, corporate finance, portfolio management, and performance measurement. To obtain this designation, the candidate must:

  1. Meet requirements of 1) a bachelor's degree or 2) have four years of professional experience or 3) have a combination of professional experience and university experience
  2. Complete a graduate-level, self-study curriculum t(250 hours each)
  3. Pass all three intensive six-hour examinations taken sequentially
  4. Complete four years of work experience in the investment decision-making process before, during or after the CFA program

Team members (6): Zachary R. Mersberger, Jonathan A. Dudzinski, Joshua P. Preiss, William N. Morrison, Jasen B. Dahm, Austin A. Summers

Chartered Retirement Planning Counselor® (CRPC)

The CRPC designation is issued by the College for Financial Planning. To obtain this designation, candidate must:

  1. Complete an online self-study course
  2. Pass the designation exam
  3. Maintain the continued education requirements every two years to keep the designation active

Team members (2): Joshua P. Mersberger, Zachary R. Mersberger

Life Underwriter Training Council Fellow® (LUTCF)

The LUTCF designation is administered by the College for Financial Planning and the National Association of Insurance and Financial Advisors (NAIFA). To obtain this designation, candidate must:

  1. Be a member with NAIFA
  2. Complete the required three courses: Introduction to Practice Management and Life Insurance, Insurance and Investment Products and Risk Management Applications
  3. Complete the designation exam on fundamental prospecting, selling and practice management skills and working knowledge of the four practice specialties
  4. Maintain the continued education requirements after completion to keep the designation active

Team members: Peter J. Mersberger

Licenses

Series 6

Investment Company and Variable Contracts Products Representative Exam
The Series 6 exam is administered by the Financial Industry Regulatory Authority (FINRA) and qualifies an individual to purchase/sell security products such as mutual funds, variable annuities, variable life insurance, unity Investment Trusts (UITs), mutual fund securities.

Team members (2): Peter J. Mersberger, Donald C. Hammond

Series 7

General Securities Representative Examination
The Series 7 exam is administered by the Financial Industry Regulatory Authority (FINRA) and provides an individual with the qualifications necessary to process trades with all types of general securities (excluding commodities and futures).

Team members (14): Peter J. Mersberger, Joshua P. Mersberger, Zachary R. Mersberger, Donald C. Hammond, Jonathan A. Dudzinski, Andrea J. Zoeller, Joshua P. Preiss, John Ben Brazier, Austin A. Summers, CaSondra L. Gimbi, Jasen B. Dahm, William N. Morrison, Matthew A. Krier, Sydney P. Thompson

Series 24

General Securities Principal Examination
The Series 24 exam is administered by the Financial Industry Regulatory Authority (FINRA) and measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a General Securities Principal, including the rules and legal requirements applicable to the supervisory management of a general securities broker-dealer. This is comprised of the supervision of:

  • Registration of broker-dealer and personnel management activities
  • General broker-dealer activities
  • Retail and institutional customer-related activities
  • Trading and market making activities
  • Investment banking and research

Team members: Joshua P. Mersberger

Series 63

Uniform Securities Agent State Law Examination
The Series 63 exam is a North American Securities Administrators Association (NASAA) exam administered by FINRA which covers the principles of state securities regulations and rules prohibiting unethical practices which qualifies candidates to work in the securities industry and sell within a state.

Team members (5): Peter J. Mersberger, Joshua P. Mersberger, Donald C. Hammond, Jonathan A. Dudzinski, CaSondra L. Gimbi

Series 65

Uniform Investment Adviser Law Examination
The Series 65 exam is a North American Securities Administrators Association (NASAA) exam administered by FINRA. Completion of the Series 65 exam qualifies an investment professional to function as an Investment Adviser Representative in certain states that covers state and federal securities acts, rules and regulations for investment advisers, ethical practices, and fiduciary obligations.

Team members (3): Peter J. Mersberger, Joshua P. Mersberger, Donald C. Hammond

Series 66

Uniform Combined State Law Examination
The Series 66 exam is administered by the North American Securities Administrators Association (NASAA). Successful completion of the Series 66 exam is equivalent to the successful completion of both the Series 63 and Series 65 exams. It is required by certain states in America in order for an investment professional to qualify for registration as an Investment Advisor Representative and as a securities agent representing a broker dealer.

Team members (7): Zachary R. Mersberger, Andrea J. Zoeller, Joshua P. Preiss, John Ben Brazier, William N. Morrison, Matthew A. Krier, Sydney P. Thompson

Life, Health & Disability Insurance Licenses

Obtaining the life, health and disability insurance license allows a representative to offer life, health, and disability insurance. These licenses cover life insurance, accidental insurance, health insurance, property insurance, casualty insurance, principles of insurance, general state insurance laws/statutes/regulations, ethics, and more.

Team members (6): Peter J. Mersberger, Joshua P. Mersberger, Zachary R. Mersberger, Donald C. Hammond, Andrea J. Zoeller, John Ben Brazier, Sydney P. Thompson

Certificates

Financial Industries Training (FIT) Certificate

The Financial Industries Training (FIT) program is administered through the broker-dealer Cambridge Investment Research, Inc. This certificate gives a deeper basic industry knowledge covering the following industry-specific topics and courses:

  • Investment Products: Brokerage Accounts, Equity Securities, Debt Securities, Mutual Funds, ETFs, UITs, Insurance Products, Alternative Investments
  • Industry Systems and Service Models: Industry Foundations, Broker-Dealers, Fees Programs, Regulatory Bodies, and Industry Trends
  • Financial Planning: Understanding client needs, suitability, retirement planning, education planning, tax planning, and estate planning.

Team members (4): CaSondra L. Gimbi, Paige O. Gerber, Leslie A. Clark, Tanya M. Roethel-King


Sources: www.fingra.org, www.cfp.net, www.cfainstitute.org, www.investopedia.comwww.forbes.com/advisor/investing/cfa-chartered-financial-analyst/www.forbes.com/advisor/investing/what-is-a-cfp/

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