Certified Financial Planner Professional (disclosure item)

As a supervisor, I am liable for the activity of my subordinate advisors.  In January 2019, I and another supervisor were sanctioned by FINRA for inadequate supervison of an advisor that was terminated from our firm in 2015. The CFP(R) mark is widely viewed as the premier professional ceritification in our industry and the CFP(R) board reviews all regulatoiry sanctions by CFP(R) members.  After review of the matter, it was determined that I would not be allowed to use the CFP(R) mark for a period of 90 days from 2/19/2020 to 5/19/2020.  I support all efforts of the CFP(R) board to uphold the integrity of the mark.