CFP Board shares information that CFP professionals have provided about their practice as well information about professionals who CFP Board has publicly disciplined or who made a bankruptcy disclosure to CFP Board, We cannot guarantee the information CFP professionals have provided is accurate or complete. You should verify the accuracy of the information.
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Professional Profile
Year CFP® Certification Received
2003
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Specialties
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Some CFP® professionals focus their business on serving the needs of specific types of clients.
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Some CFP® professionals focus their business on serving the needs of specific types of clients.
- Special Needs Individuals
- Retirees
- Widows/Widowers
- Intergenerational Families
- Women
- Young Professionals
Planning Services Offered
- Tax Planning
- Divorce Planning
- Retirement Income Management
- Budgeting
- Estate Planning
- Business Succession Planning
- Debt Management
- Health Care
- Investment Planning
- Small Business Planning
- Employee and Employer Plan Benefits
- Socially Responsible Investing
- Retirement Planning
- Education Planning
- Insurance Planning
- Elder Care
- Comprehensive Financial Planning
- Inheritance
- Social Security Planning
- Life Transitions
- Long-term Care
Your Minimum Investable Assets
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Investable assets are what you own that can easily be turned into cash and invested, such as bank accounts, stocks, mutual funds and bonds. Some financial advisors – especially those who charge clients a percentage of the assets under their management – require their clients to have a minimum amount of investable assets.
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Investable assets are what you own that can easily be turned into cash and invested, such as bank accounts, stocks, mutual funds and bonds. Some financial advisors – especially those who charge clients a percentage of the assets under their management – require their clients to have a minimum amount of investable assets.
- No Minimum
Languages
- English
Payment Options
When hiring a CFP®️️️️️️️️ professional, it's important to ask how your advisor expects to be paid for services rendered. Different financial advisors may charge differently, or one financial advisor may offer several different ways that clients can choose to pay.
Disclosures
CFP Board Public Disciplinary History
Effective Date: 8/7/2018
In August 2018, CFP Board’s Disciplinary and Ethics Commission (Commission) and Mr. Case entered into a settlement agreement in which Mr. Case agreed that CFP Board would issue a Suspension of his right to use the CFP® certification marks for three months. In the settlement agreement, Mr. Case consented to CFP Board’s findings that he failed to place the interests of his clients ahead of his own and communicated false or misleading information to his clients when he (1) provided false financial statements to investors that reflected inflated values for investments held in two private funds that his firms advised, and (2) included the inflated valuations in his firms’ Forms ADV. Mr. Case also consented to CFP Board’s findings that he failed to comply with applicable regulatory requirements governing professional services provided to clients and failed to exercise reasonable and prudent professional judgment in providing professional services to clients when he: (1) relied on the private fund adviser exemption from registration, although he was not entitled to and did not otherwise qualify for an exemption from registration with the Securities and Exchange Commission (SEC); (2) included inflated asset valuations in his firms’ Forms ADV; (3) failed to have his firms submit to surprise examinations as required by the SEC’s Custody Rule; (4) failed to have his firms comply with the SEC’s Compliance Rule; (5) improperly used fund assets to pay legal fees; (6) contracted to earn a performance fee for managing a fund without determining whether the fund’s investors were qualified clients; and (7) aided and abetted and caused his firms’ violations of the Investment Advisers Act of 1940 (Advisers Act). CFP Board further found that, in July 2017, the SEC issued a Cease and Desist Order in which the SEC determined that Mr. Case willfully aided and abetted his firms’ violations of various sections of the Advisers Act, including Section 203(a), Section 206(4) and rules promulgated thereunder, and Section 205(a)(1), and himself willfully violated Sections 206(2) and 207 of the Advisers Act. The SEC ordered that Mr. Case cease and desist from committing or causing any violations of the above-referenced statutes and rules and, jointly and severally with other defendants, pay a $150,000 civil penalty. The SEC’s order also stated that Mr. Case and his firms had agreed to certify compliance with various undertakings. CFP Board found that Mr. Case failed to disclose this professional discipline in writing to CFP Board within 30 days. CFP Board determined that Mr. Case’s conduct violated Rules 1.4, 2.1, 4.3, and 4.4 of CFP Board’s Rules of Conduct and Article 13.2 of CFP Board’s Disciplinary Rules and Procedures (Disciplinary Rules), and provided grounds for discipline pursuant to Articles 3(A) and 3(D) of CFP Board’s Disciplinary Rules. Accordingly, the Commission suspended Mr. Case with regard to the above-mentioned conduct. Mr. Case’s suspension is effective from August 7, 2018 until November 7, 2018.
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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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.
None
Disclosure Information
Below are links to additional sources of information about CFP® professionals that may contain information that has not led to CFP Board discipline or 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 below may provide additional information if the CFP® professional is subject to the oversight of that regulator or self-regulatory agency. If the CFP® professional is not subject to their oversight, then the links will not provide access to any additional information about that person.
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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. CFP Board updates the disclosures below monthly and should be verified directly through FINRA and the SEC.
FINRA’s BrokerCheck Public Disciplinary History
Yes
SEC’s Investment Advisor Public Disciplinary History
Yes
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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.
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Visit the Office of the Comptroller of the Currency (OCC) website to search for enforcement actions against individuals who are subject to OCC oversight.
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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.