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.

Securities and advisory services offered through Cetera Advisors LLC, member FINRA, SIPC. Cetera is under separate ownership from any other named entity.

This site is published for residents of the United States only. Financial Advisors of Cetera Advisors LLC, may only conduct business with residents of the states and/or jurisdictions in which they are properly registered. Not all of the products and services referenced on this site may be available in every state and through every advisor listed. For additional information please contact the advisor(s) listed on the site, visit the Cetera Advisors LLC site at

Our Office of Supervisory Jurisdiction is located at:

137 Wilber Dr. NW, North Canton, OH 44720

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