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Provided By CFP Board
Mr. Kable M. Doria

Mr. Kable M. Doria

Ameriprise Financial Services, LLC

https://www.ameripriseadvisors.com/kable.m.doria/
(916) 380-3176
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professional profile

Year CFP® Certification Received

Planning Services Offered

  • Estate Planning
  • Retirement Planning
  • Comprehensive Financial Planning
  • Investment Planning
  • Insurance Planning
  • Retirement Income Management

Languages

  • English

Disclosures

CFP Board Public Disciplinary History

Effective Date: 3/12/2018

In March 2018, CFP Board’s Disciplinary and Ethics Commission (Commission) and Mr. Doria entered into a settlement agreement in which Mr. Doria agreed that CFP Board would issue a Letter of Admonition. In the settlement agreement, Mr. Doria consented to CFP Board’s findings that he was a named party in a civil action involving his efforts to recruit a CFP® professional (Professional) to join Mr. Doria’s employer. CFP Board further found that during his efforts to recruit the Professional to join his employer, Mr. Doria: (a) sought and obtained confidential client information of Professional’s firm from Professional, which he then provided to his employer; and (b) accepted a billing report from Professional that contained trade secrets from Professional’s firm. A court found that, based on Mr. Doria’s actions, he misappropriated the trade secrets of Professional’s firm and engaged in unfair business practices against the firm. Finally, CFP Board found that Mr. Doria made a false or misleading statement to CFP Board when he answered “no” in response to a question on his CFP Board Renewal Application that asked whether he had ever been a defendant or respondent in a civil action, including a lawsuit, arbitration or mediation. At the time Mr. Doria completed the relevant CFP Board Renewal Application, he had been a defendant in the above-referenced civil action. CFP Board determined that Mr. Doria’s conduct violated Rule 6.5 of CFP Board’s Rules of Conduct and provided grounds for discipline pursuant to Articles 3(A) and 3(G) of CFP Board’s Disciplinary Rules and Procedures. Accordingly, the Commission admonished Mr. Doria with regard to the above-mentioned conduct.

Disclosure Under CFP Board’s Prior Bankruptcy Disclosure Procedures
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Until June 30, 2020, CFP Board made public disclosures about CFP® professionals who had filed a personal or business bankruptcy. These were disclosures and not disciplinary actions or sanctions. These disclosures stay on CFP Board’s website for 10 years. There are more details below on this page.

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Disclosure Information

CFP Board makes available information that a CFP® professional has provided about his or her practice. CFP Board also provides information about any CFP® professional that CFP Board has publicly disciplined or any professional who made a bankruptcy disclosure to CFP Board (more details about bankruptcy below). We cannot guarantee the information the CFP® professional has provided is accurate or complete. You should verify the accuracy of the information yourself.

While the information on this website may be useful to you, there may be more information from other sources you will need or want. Provided below are links to other sources of information about CFP® professionals that may be more recent or that may contain information that has not led to CFP Board discipline and does not appear on CFP Board’s website. The information may include customer disputes, disciplinary actions taken by a regulator or employer, certain criminal matters, and certain financial matters (such as bankruptcy proceedings and unpaid judgments or liens). The links provided below may provide additional information only if the CFP® professional is subject to the oversight of that regulator or SRO. If the CFP® professional is not subject to their oversight, then the link will not provide access to any additional information about that person.

  • You can find information about CFP® professionals who are subject to Financial Industry Regulatory Authority (FINRA) or Securities and Exchange Commission (SEC) oversight through FINRA’s BrokerCheck and the SEC’s Investment Adviser Public Disclosure databases. Both are free tools you can use to conduct research.
  • Visit your state securities regulator’s website for more information about brokers and investment advisers and your state insurance department website for more information about insurance professionals.
  • Visit the Office of the Comptroller of the Currency (OCC) website to search for enforcement actions against individuals who are subject to OCC oversight.
  • Conduct an Internet search on the CFP® professional’s name (and business name).

About Bankruptcies

Effective June 30, 2020, CFP Board may publicly sanction a CFP® professional for a personal or business bankruptcy that violates CFP Board’s Code of Ethics and Standards of Conduct. (There is no violation if the CFP® professional can make a case that the bankruptcy does not reflect on the professional’s ability to responsibly manage his or her own financial affairs or the financial affairs of the business.) You can find public sanctions in the “CFP Board Public Disciplinary History.” Under the “Prior Bankruptcy Disclosure Procedures” that applied from July 2012 – June 2020, CFP Board published information about a CFP® professional’s verified single bankruptcy in a press release and on CFP Board’s website. These were disclosures, not discipline or sanctions, and remain on CFP Board’s website for 10 years. You may learn more about the disclosure procedures here. You can learn more information about a bankruptcy filing at the U.S. Court’s website. You will be required to register and pay a nominal fee to view the information on that website.