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30952 – Anonymous Case History
Decision: Remedial-CE; Private Censure
Keyword(s): Failure to Register
Standard(s) Violated: Article Article 3(a); 4.3
Matter Type(s): State Regulatory Action
Decision Date: 06/12/2018

Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he served as an Registered Investment Advisor (“RIA”) and Investment Adviser Representative (“IAR”) prior to completing the state registration process.

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