The CFP® Designation
Each financial planning member of Prospera Financial Group holds the following securities registrations, licenses and designations.
CERTIFIED FINANCIAL PLANNER™ - the CFP® certification process, administered by the CFP Board, identifies to the public that those individuals who have been authorized to use the CFP® certification marks in the U.S. have met rigorous professional standards and have agreed to adhere to the principles of integrity, objectivity, competence, fairness, confidentiality, professionalism and diligence when dealing with clients. Examination and continuing education topics include:
- General Principles of Financial Planning
- Insurance Planning
- Investment Planning
- Tax Planning
- Retirement Planning
- Estate Planning
- Interpersonal Communication
- Professional Conduct and Fiduciary Responsibility
General Securities Representative Examination (Series 7) - The Series 7 Examination is the Qualification Examination for General Securities Registered Representatives.
Uniform Securities Agent State Law Examination (Series 63) – This examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant’s knowledge and understanding of state law and regulations
State of Ohio Life and Health Insurance License - Ohio Insurance agents must take and pass an examination to confirm that they have attained at least a minimum level of knowledge regarding the statutes and regulations affecting the insurance profession and the products and services that they will sell to the public.