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
2016
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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
- Government Employees and Military Service people
- Widows/Widowers
- Women
- Veterans
- Young Professionals
- Intergenerational Families
Planning Services Offered
- Elder Care
- Tax Planning
- Insurance Planning
- Social Security Planning
- Socially Responsible Investing
- Comprehensive Financial Planning
- Health Care
- Small Business Planning
- Life Transitions
- Budgeting
- Long-term Care
- Employee and Employer Plan Benefits
- Investment Planning
- Divorce Planning
- Retirement Planning
- Debt Management
- Business Succession Planning
- Education Planning
- Inheritance
- Estate Planning
- Retirement Income Management
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.
- $250,000
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: 11/23/2020
In November 2020, the Disciplinary and Ethics Commission (Commission) and Mr. Keller entered into a consent order in which Mr. Keller agreed that CFP Board would issue a three-month suspension of his CFP® certification. In the consent order, Mr. Keller consented to findings that he entered in an Acceptance Waiver, and Consent (AWC) order with the Financial Industry Regulatory Authority, Inc. (FINRA) for selling 14 life insurance policies through a firm unaffiliated with his employer by falsely answering “no” to a question on an attestation for his employer that asked whether he had solicited any life insurance products outside the firm. Mr. Keller consented to a three-month suspension with any FINRA firm or member, and a $5,000.00 fine. In the AWC, Mr. Keller also consented to a finding that his actions, which resulted in his termination from the firm, violated FINRA Rule 3270, which states, “no registered person may be an employee…of another person, or be compensated…from any other person as a result of any business activity outside the scope of the relationship with his or her member firm, unless he or she has provided prior written notice to the member.” The AWC also stated a violation of FINRA Rule 2010, which states, “every member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.” Mr. Keller also failed to notify CFP Board about the AWC. Pursuant to the consent order, Mr. Keller also consented to findings that his conduct violated Rules 4.3 and 6.5 of the Rules of Conduct. Accordingly, the Commission issued to Mr. Keller a three-month suspension of his CFP® certification. Mr. Keller’s suspension is effective from November 23, 2020 until February 23, 2021.
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.
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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.