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Provided By CFP Board

File a Complaint

Are you concerned that your advisor (or any CFP® professional) has violated your trust, recommended or sold you products you didn’t understand, charged fees you didn’t agree to, ignored your goals or needs, or simply didn’t tell you everything you needed to know? If so, CFP Board would like to hear about it. CFP Board is not a regulator and CFP Board doesn't guarantee a CFP® professional's services. However, CFP Board may sanction a CFP® professional who does not abide by their obligations under the Code of Ethics and Standards of Conduct and welcomes tips from the public.

FILE A COMPLAINT

Please report your complaint in as much detail as possible. CFP Board staff will request additional information and documentation if needed and may request a personal interview if it appears necessary. Your complaint will be investigated if CFP Board determines that the allegations concern a potential violation of CFP Board’s Code of Ethics and Standards of Conduct.

Please note that pursuant to Article 17.9 of CFP Board’s Procedural Rules, CFP Board Counsel shall provide notice every 6 months to any individual who filed a complaint against a CFP® professional notifying the individual that their complaint remains under review or investigation. When an individual’s complaint is dismissed or finally adjudicated, CFP Board Counsel will notify the individual that a public sanction has or has not been issued.

questions?

If you have any questions about the complaints process or about a complaint that you would like to file, please send an email to complaints@cfpboard.org.

CONTACT INFORMATION FOR THE CFP® PROFESSIONAL YOUR COMPLAINT IS AGAINST

Your Contact Information

(CFP Board will accept an anonymous complaint. It is often the case, however, that preserving a complainant's anonymity may result in CFP Board not being able to conduct a full investigation. To submit an anonymous complaint, enter “Anonymous” for your first and last name.)

Your Complaint

A. Complaint Information

Please describe your complaint and the reasons you believe a violation of CFP Board’s Code of Ethics and Standards of Conduct occurred.

B. Did the CFP® professional provide you with some type of disclosure document, which described the forms of compensation, potential or real conflicts of interest, services provided, agency or employment relationships and the philosophy or operating method
C. Did you pay a fee to the CFP® professional?
D. Did you sign a written contractual agreement?
E. Have you notified any regulatory authorities in connection with your complaint?
F. Have you begun legal action against this individual?

Upload Documentation

Please upload documentation supporting your complaint, including, where appropriate:

  • Completed Consent to Release Documents to CFP Board.
  • A copy of any written contractual agreement with the CFP® professional.
  • A copy of any disclosure document provided to you, which describes the CFP® professional’s forms of compensation, potential or real conflicts of interest, services provided, agency or employment relationships and the philosophy or operating methods employed.
  • A copy of your Complaint and any other relevant legal pleadings/correspondence.
  • Any additional information or documents you believe are relevant to your Complaint.

To upload documentation using the tool below, the documentation must be uploaded as a single document in Word or PDF format. (If you have multiple documents that cannot be combined, please send them to CFP Board by email, fax or mail.)

Consent to Release Documents to CFP Board

After you submit this complaint form, please fill out and sign the Consent to Release Documents to CFP Board form indicating your willingness to authorize relevant financial institutions to release your financial records and other relevant documents concerning this complaint to CFP Board. Failure to provide a Consent form may limit our ability to gather sufficient evidence in which to evaluate this matter. Please submit your signed Consent form by email to complaints@cfpboard.org, by fax to 202-379-2299 (no cover needed), or by mail to: CFP Board, Attn: Professional Standards, 1425 K Street NW #800, Washington, DC, 20005

Download the Consent Form

Acknowledgement