Broker Check
 

Designations

DESIGNATIONS WE HOLD:

 

AIF ® - Accredited Investment Fiduciary ® Commitment to fiduciary excellence and one of the 10 most sought-after designations. We help fiduciaries, institutions, individual investors and their families with allocation, risk/return reviews, portfolio and holdings reviews and establishing standards and processes for delivering the highest standard of care.  Designees complete continuing education annually and must adhere to professional standards of conduct.  Held by Jayne W. Di Vincenzo, President.

 

CEP ®- Certified Estate Planner ® certification specializes in various options and nuances of estate planning and as part of a professional team that includes an attorney, capable of helping develop a comprehensive plan to help families and business owners with planning their legacy while taking into account current estate and tax laws, charitable gifting strategies, special needs planning for children or adult family members with disabilities.  Designees must complete continuing education annually and adhere to professional standards of conduct. Held by Jayne W. Di Vincenzo, President.

 

CFP ®- Certified Financial Planner ™   Have completed the CFP Board’s initial course work, passed the CFP exam and maintain annual ongoing certification requirements and agree to adhere to a professional standard of conduct to include integrity, objectivity, competence, fairness, confidentiality, professionalism and diligence when dealing with clients. Held by Robert L. “Bob” Bailey, Wealth Advisor.

 

CPFA®-Certified Plan Fiduciary Advisor demonstrates expertise required to act as a plan fiduciary or help plan fiduciaries managed their roles and responsibilities.  Held by James T. Albert, Wealth Advisor.

 

CRPC ®- Chartered Retirement Planning Counselors have completed specialized coursework in creating a road map for retirement for clients to include multiple objectives including retirement income, savings, employer plans, income taxes, cash flow, asset management, estate planning and more. Held by Lauren N. Mundy, Wealth Advisor.

 

CRPS® -Chartered Retirement Plans Specialist (SM) Designees have completed coursework and passed testing demonstrating they know how to create, implement, monitor and document a process to manage and mitigate their fiduciary risk.  Held by James T. Albert, Financial Consultant.

 

FPQP ™- Financial Paraplanner Qualified Professional ™ complete a course of study encompassing the financial planning process and the five disciplines of financial planning. Designees renew bi-annually by completing 16 hours of continuing education and reaffirm adherence to the Standards of Professional Conduct.  Held by Kylene Tiller, Branch Operations Manager.

 

Additional REGISTRATIONS and LICENSES held with LPL FINANCIAL for Jayne Di Vincenzo:

Series 24 Securities Principal

Series 53 Municipal Principal

Series 31 Managed Futures

Series 7 General Securities License – also held by Robert L. “Bob” Bailey, Lauren N. Mundy, William Albert, Charles “Don” Felling, and Lee Lehmkuhler.

Series 65

Series 63

Life, Health and Long Term Care Insurance Licenses -also held by: Lauren N. Mundy, William Albert, Charles “Don” Felling,  and James T. Albert.

 

Additional Securities Licenses held by the team:

Series 66 held by:  Robert “Bob” Bailey, Lauren N. Mundy, William Albert, and Lee Lehmkuhler.

Series 9, 10 General Securities Sales Supervisor held by Lee Lehmkuhler