Winter 2013

For Employers of CFP® Professionals


Winter 2013


This is our inaugural issue of INSIGHT, our new eNewsletter for employers of CFP® professionals. It is intended to provide information across a range of topics, from research to education and exam updates, upcoming events, tools and resources, and best practices.

As it is sent to home office personnel who have an interest in growing and supporting CFP® professionals, the topics will hopefully provide you with new insight and ideas to encourage CFP® certification.

We hope you find this newsletter helpful and will be asking for your feedback from time to time. In the meantime, let us know what you think. You can email me at

Joseph Maugeri, CFP®
Director of Firm Relations, CFP Board

2013 CFP Board Firms Meeting

On November 20 & 21, CFP Board held its annual Firms Meeting in Washington, D.C. The two-day meeting was attended by representatives from 33 of the largest financial services firms, including banks, wirehouses, regional B/Ds, independent B/Ds, insurance, direct, virtual platforms, and RIA service providers. In addition to opportunities for attendees to meet other heads of financial planning, training, practice management, advisor strategy, and compliance, the meeting also included extensive discussion of topics on financial planning and the role of CFP® certification.

Sessions at the meeting addressed research trends, institutionalizing the Standards of Professional Conduct, supervision of financial planning, promoting advice and higher standards for advisors, the changing delivery and emerging platforms for financial planning, and recruiting and retaining younger advisors for firms.  The executive leadership team of CFP Board also participated on a panel, led by CEO Kevin Keller, to discuss recent and future board initiatives, as well as answered questions and received comments from firm representatives.  

Kevin Keller, CEO of CFP Board, remarked after the meeting, "It was great to meet and hear from all of the firms that attended.  Our annual meeting helps attendees learn about financial planning and CFP® certification, and provides CFP Board the opportunity to hear valuable feedback from senior leaders at the largest financial services firms in the industry."

Dates for next year's meeting in Washington, D.C. will be announced shortly.  If you would like to attend, know someone who should attend, or have ideas for sessions, contact Sara Muehlbauer at

CFP Board Webinars

In recent years, many firms have requested our help in conducting or participating in webinars for their advisors.  These webinars have been targeted to two groups of advisors within firms:

  • Individuals seeking information on CFP® certification, and
  • Existing CFP® professionals who want to learn more about CFP Board's public awareness campaign and how they can promote the marks to their clients and prospects.

Prior sessions have been very popular and well attended, and provide a great opportunity for both prospective and existing CFP® professionals to get answers to their most pressing questions.

If you are interested in having CFP Board participate in a webinar for your advisors, please contact Sara Muehlbauer at

Initiatives to Improve Quality of CE for CFP® Professionals

CFP Board recently announced a number of initiatives to improve the quality of continuing education (CE) for CFP® professionals. Several short- and long-term initiatives will be implemented over the next three to five years, in partnership with CFP® professionals and CE Sponsors registered with CFP Board, including:

  • A complaint procedure for CFP® professionals to report issues with CE programs;
  • Updates to the registration processes for CE Sponsors and CE programs to establish heightened expectations and quality standards, provide clear learning objectives, and define instructor criteria;
  • A recognition program for CE programs that meet high quality standards and receive positive feedback from CFP® professionals.

To read the full list of initiatives and for additional information, please click here. If you have any questions on CE changes, please contact our CE team at

Important Dates

  • Deadline to register for the March 2014 exam: February 11, 2014
  • March examination dates: March 21-22, 2014

Important Announcements

  • The November 2013 Business Update webinar is now available. Click here to view.
  • The Experience Requirement for CFP® Certification webinar is now available. Click here to view.

Know Someone Who Should Receive this Newsletter?

Send their full name and email address to Sara Muehlbauer, here.

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