DESIGNATIONS WE HOLD:
AIF ® - Accredited Investment Fiduciary ® Investment fiduciaries are constantly exposed to legal and practical scrutiny. This can arise for various reasons and from multiple facets the role of advisor. We live in litigious times and without proper procedures and processes in place when in a position of trust, of which a fiduciary is in, we can put ourselves at risk. Although some allegations may be justified, many can be avoided by having a clear knowledge of who constitutes a fiduciary and what is required of one.
The AIF training and designation offered through fi360 helps mitigate this liability by instructing in practices that cover pertinent legislation and best practices. The Accredited Investment Fiduciary® (AIF®) designation represents a thorough knowledge of and ability to apply the fiduciary Practices. Through fi360's AIF Training programs, AIF designees learn the Practices and the legal and best practice framework they are built upon. AIF designees have a reputation in the industry for the ability to implement a prudent process into their own investment practices as well as being able to assist others in implementing proper policies and procedures.
AIF ® designees are required to complete six hours of continuing education annually and to attest to the code of ethics: fi360 AIF® Code of Ethics
To my clients, I will:
- Employ and provide the client information on the Prudent Practices when serving as an investment fiduciary and/or advising other investment fiduciaries.
- Act with honesty and integrity and avoid conflicts of interest, real or perceived.
- Ensure the timely and understandable disclosure of relevant information that is accurate, complete, and objective.
- Be responsible when determining the value of my services and my form of compensation; taking into consideration the time, skill, experience, and special circumstances involved in providing my services.
- Know the limits of my expertise, and refer my clients to colleagues and/or other professionals in connection with issues beyond my knowledge and skills.
- Respect the confidentiality of information acquired in the course of my work, and not disclose such information to others, except when authorized or otherwise legally obligated to do so. I will not use confidential information acquired in the course of my work for my personal advantage.
- Not exploit any relationship or responsibility that has been entrusted to me.
To my community (whether defined by work, family, and/or friends), I will:
- Proactively promote and be a steward of ethical behavior as a responsible partner among my peers in the work environment and in my community.
- Ensure that the overall promotion of my practice is implemented in the best interests of my profession.
- Seek, accept, and offer honest criticism of technical work; acknowledge and correct errors, and properly credit the contributions of others.
- Use corporate assets and resources employed or entrusted to me in a responsible manner.
- Continue to improve my knowledge and skills, share ideas and information with colleagues, and assist them.
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
Additional team members holding the Series 7: Robert L. “Bob” Bailey, Lauren N. Mundy, William Albert, Charles “Don” Felling, and Lee Lehmkuhler.
Life, Health and Long Term Care Insurance Licenses -also held by these team members: Lauren N. Mundy, William Albert, Charles “Don” Felling, and James T. Albert.
Additional Securities Licenses held by team associates:
Series 66 held by: Robert “Bob” Bailey, Lauren N. Mundy, William Albert and Lee Lehmkuhler.
Series 10 General Securities Sales Supervisor held by Lee Lehmkuhler