PDF Get Certified 2013 - CFP Certification Application

1425 K ST NW #500 WASHINGTON, DC 20005 P 866-899-2287 F 202-379-2299 GETCERTIFIED2013@

Get Certified 2013 ? CFP? Certification Application

As a special offer to November 2013 CFP? exam registrants, CFP Board is offering pre-qualification of post-exam CFP? certification requirements at no cost to registrants. To complete this expedited program, you must:

1. Complete the Experience Reporting Form and Initial Certification Application, and submit any required documentation, including verification that you hold a qualified bachelor's degree (or higher). CFP Board will verify whether you meet the experience requirement and conduct a background check, to ensure you meet the ethics requirement, and notify you if you successfully pre-qualify.

2. Pass the November 2013 CFP? exam. 3. After you pass the exam, if your pre-qualified status has been confirmed, simply pay the initial certification fee, and you'll become

certified.

In order to be eligible for certification upon passing the November 2013 CFP? exam, your completed and signed forms, and any related documentation, must be received by CFP Board no later than December 2, 2013.

SECTION I: Personal Data

Name: _______________________________________________ Job title: _____________________________________________ Business name: _______________________________________ Business address: _____________________________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________ Business telephone: ___________________________________ Business fax: _________________________________________

CFP Board ID#: _______________________________________ Certification status: ___________________________________ E-mail: ______________________________________________ Home address:

___________________________________________________ ___________________________________________________ ___________________________________________________ ___________________________________________________ Home telephone: _____________________________________

Preferred address (check one): Business Home

SECTION II: Demographic Information Indicate your ethnicity (optional, check one):

American Indian Asian Black Hispanic White Other

Select the highest degree you hold (check one):

No Degree Associate Bachelors Masters Juris Doctor Doctorate

List up to six designations you hold (see attached instructions for options):

List up to four current licenses you hold (see attached instructions for options):

List up to ten current memberships you hold (see attached instructions for options):

Rank your three primary business activities in order of importance (see attached instructions for options):

1: ______________________________________________________________________________________________________________

2: ______________________________________________________________________________________________________________

3: ______________________________________________________________________________________________________________

Provide the following information (see attached instructions for descriptions):

Are you an investment adviser (IA) or an investment adviser representative (IAR)? yes no

If yes, name of your IA: ____________________________________________________________________________________________

Do you have a securities license? yes no If yes, name of broker/dealer: _______________________________________________________

Are you a personal financial planning practitioner? yes no

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...continued Rev. 9/2013

SECTION III: Declaration If you have previously disclosed a matter to CFP Board, you do not need to disclose it again. Please respond to the following questions by checking "yes" or "no": (see attached instructions for selected definitions)

1. Are you currently charged with or have you ever been convicted of a felony?

2. Are you currently charged with or have you been convicted of a misdemeanor (other than minor traffic violations) within the last five years?

3. Have you ever had a professional license suspended or revoked?

4. Have you, or an organization in which you had material participation, ever filed a petition for bankruptcy? (A bankruptcy filing may bar an individual from becoming certified. For more information, please see CFP Board's Fitness Standards for Candidates and Registrants at fitness-standards)

Please answer questions 5-9 as they relate to your professional activities.

yes no yes no

yes no yes no

5. Have you ever had a civil judgment entered against you?

yes no

6. Have you ever been a defendant or respondent in a civil action including, but not limited to, a lawsuit, arbitration or mediation?

7. Have you, or any organization over which you have exercised control, ever been the subject of a governmental agency or self-regulatory organization inquiry or investigation?

8. Have you ever been terminated for cause or permitted to resign in lieu of discipline when the cause of the termination or resignation involved allegations relating to compliance, honesty or ethical considerations?

9. Have you ever been or are you currently the subject of a written complaint that led to an investigation by an employer or other entity? Do not disclose customer complaints that have been denied or closed/no action by your firm.

yes no yes no yes no yes no

If you checked yes to any of the above questions, please describe on a separate sheet the principal facts and the outcome, if any, relating to the matters disclosed, including the name(s) of any relevant court, governmental agency, self regulatory organization, plaintiff or claimant, any case or proceeding number, the date each inquiry, investigation or proceeding was initiated, and the date matter was resolved. CFP Board will contact you shortly regarding any matters disclosed.

CFP Board conducts a comprehensive background check of all individuals who apply for CFP? certification. Once CFP Board's background check is completed, you will either receive a notice officially informing you that you are certified or you will receive a request for additional information regarding your background. Please allow up to 10 business days for CFP Board to complete this background check.

Please be aware that, if you disclose matters on your CFP? Certification Application, or if CFP Board discovers that you have been involved in matters that may give rise to a violation of the Standards of Professional Conduct, your certification may be delayed pending CFP Board's review of the matters. Additionally, if the matters involve serious misconduct, CFP Board reserves the right to permanently deny you the right to obtain the CFP? certification. All such ethics reviews will be conducted in accordance with CFP Board's Disciplinary Rules and Procedures.

SECTION IV: Degree Verification

A bachelor's degree (or higher), or its equivalent,1 in any discipline, from a regionally accredited college or university2 is required to attain CFP? certification. The bachelor's degree requirement is a condition of initial certification; it is not a requirement to be eligible to take the CFP? Certification Examination. However, to be eligible for certification upon passing the November 2013 CFP? exam, documentation that you hold an acceptable degree must be received by CFP Board no later than December 2, 2013.

To satisfy the bachelor's degree requirement, you must send CFP Board an official transcript from the degree-granting institution showing that you hold a qualified bachelor's degree or higher degree. Please submit your sealed official transcript to:

Attn: Support Specialists CFP Board 1425 K Street NW #500 Washington, DC 20005

1International degrees may be substituted for a U.S. undergraduate degree if they receive equivalency from a third-party evaluation agency which is a member of National Association of Credential Evaluation Services (NACES) . Applicants should request a documentby-document evaluation. 2An "accredited college or university" is one that has been regionally accredited at the time the degree was awarded by an accreditation body recognized by the U.S. Department of Education. To confirm a school's accreditation please visit the Department of Education's website.

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SECTION V: Acknowledgement of Terms and Conditions of Certification I hereby affirm that I am over the age of eighteen and I authorize the investigation of all statements made by me to CFP Board including, but not limited to, those statements contained on this application. I understand that misrepresentation or omission of facts is cause for denial or revocation of the right to use the certification marks CFP?, CERTIFIED FINANCIAL PLANNERTM, CFP? (with flame design) and CFP? (with plaque design) ("the CFP? marks"), and that I may not use the CFP? marks until I receive official notification of my certification by CFP Board.

As an applicant under the Get Certified 2013 Program (the "Program"), I understand that my application as well as the required supporting documentation and information must be received by CFP Board by no later than Monday, December 2, 2013. If all of my materials are not received by CFP Board by that date, I understand that I will be ineligible to continue in the Program. Also, I understand that CFP Board will prioritize my application so, if possible, I can become certified by December 31, 2013. Nonetheless, I acknowledge that CFP Board is under no obligation to ensure that my application will be processed in time so that I will become certified by December 31, 2013.

In addition, as an applicant under the Program, I understand that CFP Board will evaluate my education, experience, and background/ethics to determine if I am qualified to become certified. I further understand that if I do not meet CFP Board's educational, experience, and/or ethical requirements, or if CFP Board must undertake additional steps to verify or investigate my qualifications, I will be ineligible to continue in the Program. Also, I understand that my participation in the Program is no guarantee that I will become certified by December 31, 2013, if ever.

Finally, I affirm that if any of the answers to my Background/Ethics Declaration change between the date of this application and December 20, 2013, I will inform CFP Board of this change by sending an e-mail to compliance@. In that e-mail, I will identify which answer(s) has changed and describe the principal facts and the outcome, if any, relating to the matter(s) disclosed including the name(s) of any relevant court, governmental agency, self-regulatory organization, plaintiff or claimant; any case or proceeding number; the date each inquiry, investigation or proceeding was initiated; and the date the matter(s) was resolved.

I affirm that I have read, understand and voluntarily agree to be bound by the terms and conditions of certification as set forth in CFP Board's Terms and Conditions of Certification (become-a-cfp-professional/terms-and-conditions). I declare under penalty of perjury and peril of fraud that the representations contained in this certification application are true and complete. I understand that submission of this information in conjunction with all other requirements for certification constitutes an application for certification. I understand that upon completion of all certification requirements, CFP Board will issue an ID card and CFP Board and I will be bound by the terms and conditions. I understand that all fees are non-refundable, regardless of whether certification is granted or revoked.

Name (please print): ________________________________________________________________ CFP Board ID #: ____________

Signature: __________________________________________________________________________ Date: ______________________

Certified Financial Planner Board of Standards Inc. Authority: CFP Board's authority and obligation to grant, deny and revoke the right to use the marks and promulgate standards of practice stems from its ownership of the CFP? marks. By promulgating ongoing professional standards for holders of the marks, CFP Board helps to assure the public that persons using these marks in the course of their business or occupation have not only met stringent initial certification requirements, but have also continued to maintain appropriate standards of conduct and practice that distinguish them from others who would represent themselves as financial planners.

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1425 K ST NW #500 WASHINGTON, DC 20005 P 866-899-2287 F 202-379-2299 GETCERTIFIED2013@

CFP? Certification Application Instructions

Section II: Demographic Information

The demographic information requested in Section II of the CFP? Certification Application is optional and is primarily used by CFP Board to provide the public with general information about the makeup of our stakeholders. It is also used in helping CFP Board find volunteers for specific outreach and educational opportunities.

Designations

Please list only the following designations on your CFP? Certification Application, using the abbreviations as listed below. Please note that the appearance of a designation in the lists below does not constitute any endorsement of the designation by CFP Board.

AAMS Accredited Asset Management Specialist

CLU

Chartered Life Underwriter

AEP

Accredited Estate Planner

CMFC Chartered Mutual Fund Counselor

AFC

Accredited Financial Counselor

CPCU Chartered Property Casualty Underwriter

ATA

Accredited Tax Advisor

CRPC Chartered Retirement Planning Counselor

ATP

Accredited Tax Preparer

CRPS Chartered Retirement Plans Specialist

CLTC Certification in Long Term Care

EA

Enrolled Agent

CDFA Certified Divorce Financial Analyst

FLMI

Fellow Life Management Institute

CEBS Certified Employee Benefits Specialist

FIC

Fraternal Insurance Counselor

CFM Certified Financial Manager

LUTCF Life Underwriter Training Council Fellow

CFS

Certified Fund Specialist

PFS

Personal Financial Specialist

CIMA Certified Investment Management Analyst

QPA

Qualified Pension Administrator

CIMC Certified Investment Management Consultant

REBC Registered Employee Benefit Consultant

CMA Certified Management Accountant

RFC

Registered Financial Consultant

CSA Certified Senior Advisor

RHU

Registered Health Underwriter

CTFA Certified Trust & Financial Advisor

RP

Registered Paraplanner

ChFC Chartered Financial Consultant

Licenses

Please select from the items listed below when listing licenses on your CFP? Certification Application.

Attorney

CPA

Insurance

Real Estate

Memberships

Please list only the following memberships on your CFP? Certification Application, using the abbreviations as listed below.

AFS - Academy of Financial Services

AFCPE - Assoc of Financial Counseling & Plng Edu NAEA - National Association of Enrolled Agents

ABA-Bank - American Banking Association

CFA - CFA Institute

NAIFA - Nat'l Assn of Insurance & Fin'l Advisors

ABA-Bar -American Bar Association

FPA - Financial Planning Association

NAPFA - Nat'l Assn. of Personal Financial Adv.

AICPA - American Institute of CPA's

NAEPC - National Assn of Estate Plng & Council

SFSP - Soc. of Financial Services Professionals

Business Activities

Please select from the items listed below when listing business activities on your CFP? Certification Application.

Accounting

Education

Human Resources

Real Estate

Banking/Trust

Estate Planning

Insurance

Retirement Planning

Banking/Other

Government/SRO

Law

Securities

Corporate/Administrative

Healthcare

Personal Financial Planning

Tax Preparation/Advice

Personal Financial Planning Practitioner

A personal financial planning practitioner engages in financial planning using the financial planning process in working with clients.

Please note that if you indicate practitioner status to CFP Board, your name and business contact information will be included on lists CFP Board provides to for a public search feature that generates listings of CFP? practitioners, unless you specifically opt out of these listings. To opt-out of the planner listings, contact CFP Board at 800-487-1497 or mail@.

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Rev. 9/2013

Section III: Declaration

The definitions below will assist you in completing Section III of the CFP? Certification Application.

Arbitration ? A method of dispute resolution involving one or more neutral third parties who are usually agreed to by the disputing parties and whose decision is binding. [See Black's Law Dictionary. Seventh Edition. West Publishing Co., St. Paul, Minnesota, 1999]

Civil Judgment ? A court's final determination of the rights and obligations of the parties in a case. Civil judgments may include, but are not limited to, judgment liens and tax liens. A lien is a legal right or interest that a creditor has in another's property, lasting usually until a debt or duty that it secures is satisfied. [See Black's Law Dictionary. Seventh Edition. West Publishing Co., St. Paul, Minnesota, 1999]

Defendant or Respondent ? A person sued in a civil proceeding or accused in a criminal proceeding; the party against whom a motion or petition is filed. [See Black's Law Dictionary. Seventh Edition. West Publishing Co., St. Paul, Minnesota, 1999]

Felony ? A crime that is more serious than a misdemeanor, usually punishable by imprisonment for more than one year or by death. Examples include murder, rape, arson, and burglary. [See Black's Law Dictionary. Seventh Edition. West Publishing Co., St. Paul, Minnesota, 1999]

Inquiry ? A request for information. [See The Free Dictionary website, ]

Investigation - The process of inquiring into a matter through research, follow-up, study, or formal procedure of discovery. [See The Free Dictionary website, ]

Material participation ? A person materially participates in an activity if he or she works on a regular, continuous and substantial basis in operations. To have material participation, the person must meet one of the following seven tests: 1) The person works 500 hours or more during the year in the activity; 2) The person does substantially all the work in the activity; 3) The person works more than 100 hours in the activity during the year and no one else works more than the person; 4) The activity is a significant participation activity (SPA), and the sum of SPAs in which the person works 100-500 hours exceeds 500 hours for the year; 5) The person materially participated in the activity in any five of the prior 10 years; 6) The activity is a personal service activity and the person materially participated in that activity in any three prior years; and 7) Based on all of the facts and circumstances, the person participates in the activity on a regular, continuous, and substantial basis during such year. However, this test only applies if the person works at least 100 hours in the activity, no one else works more hours than the person in the activity, and no one else receives compensation for managing the activity. [See Internal Revenue Service website, ]

Mediation ? A method of nonbinding dispute resolution involving a neutral third party who tries to help the disputing parties reach a mutually agreeable solution. [See Black's Law Dictionary. Seventh Edition. West Publishing Co., St. Paul, Minnesota, 1999]

Minor traffic violation ? A nonincarcerable violation of any traffic law, ordinance, or regulation. [See Maryland Criminal Procedure ? 10-101(g) of The Maryland Code]

Misdemeanor ? A crime that is less serious than a felony and is usually punishable by fine, penalty, forfeiture, or confinement, usually for a brief term, in a place other than prison. [See Black's Law Dictionary. Seventh Edition. West Publishing Co., St. Paul, Minnesota, 1999]

Self-regulatory organization (SRO) ? Any national securities exchange, registered securities association, or registered clearing agency, or (solely for purposes of sections 19(b), 19(c), and 23(b)) the Municipal Securities Rulemaking Board established by section 15B. [See Securities Exchange Act of 1934, section 3 ? Definitions and Application]

Terminate for cause - The complete severance of an employer-employee relationship for a legally sufficient reason. [See Black's Law Dictionary. Seventh Edition. West Publishing Co., St. Paul, Minnesota, 1999]

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