Disciplinary and Ethics Commission

The Disciplinary and Ethics Commission is charged with reviewing and taking appropriate action with respect to alleged violations of the Code of Ethics and Standards of Conduct and conduct reviewed pursuant to the Fitness Standards for Candidates and Professionals Eligible for Reinstatement.

Disciplinary and Ethics Commission Members

Chair

Kelly Kaufman, CFP®
Charles Schwab
Indianapolis, IN

Other Commissioners

Shardéa Ages, CFP®
Ages Legacy Advisors
Atlanta, GA

Glenn Buhler, CFP®
Fidelity Investments
Highlands Ranch, CO

Michael Edmiston, Esq.
Law Offices of Jonathan W. Evans & Associates
Studio City, CA

Kimberly Hartman, CFP®
Stockman Wealth Management
Manhattan, MT

Kevin Hott, CFP®
Raymond James
Devon, PA

Michael S. Knight, CFP®
Knight Investment Planning, LLC
Libertyville, IL

David Mannaioni, CFP®
The College for Financial Planning
Littleton, CO

Darlene Pasieczny, Esq.
Samuels Yoelin Kantor LLP
Portland, OR

Darlene Steffen, CFP®
Life Planning Solutions LLC
Moline, IL

Amy K. Wiitala, CFP®
Ameriprise Financial Services, Align Wealth Management
Louisville, KY