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.
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:
The CFP designation is issued by the Certified Financial Planners Board of Standards, Inc. To obtain this designation, candidate must:
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.
The CFA designation is issued by the CFA Institute. To obtain this designation, candidate must:
The CRPC designation is issued by the College for Financial Planning. To obtain this designation, candidate must:
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:
Team members: Peter J. Mersberger
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.
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
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:
Team members: Joshua P. Mersberger
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
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.
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.
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.
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:
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.com, www.forbes.com/advisor/investing/cfa-chartered-financial-analyst/, www.forbes.com/advisor/investing/what-is-a-cfp/
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