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Certification & Background

Mr. R. Jefferson Davis, Jr.

Certification Status

Revoked

Company

Apogee Family Office, LLC

Address

1985 Riviera Dr Ste 103 PMB 126
Mt Pleasant, SC 29464-7582

CFP Board Disciplinary History:

Yes

Bankruptcy Disclosure In Last 10 Years:
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CFP Board’s prior Bankruptcy Disclosure Procedures (effective July 1, 2012 - June 30, 2020) required public notice of a CFP® professional’s bankruptcy disclosure within the previous 10 years. Those disclosures will remain on CFP Board’s website for 10 years from the date that the CFP® professional disclosed the bankruptcy to CFP Board or the date CFP Board became aware of the bankruptcy, whichever is earlier.

No

Disclosure Information:
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In addition to FINRA and the SEC, additional information is available on the websites for the state securities and insurance regulator in the states in which the CFP® professional is licensed.

Visit FINRA's BrokerCheck and the SEC's Investment Adviser Public Disclosure for those who are subject to FINRA or SEC oversight.

CFP Board Disciplinary History

Effective Date

8/14/2014

In August 2014, CFP Board issued an order permanently revoking Mr. Davis’ right to use the CFP® certification marks. This discipline followed Mr. Davis’ entry into a settlement agreement with CFP Board in which he consented to CFP Board’s findings that he told clients that they were purchasing a stock while failing to tell them about a $5 million dollar liability, told clients that their $950,000 was being used to purchase a stock when he was really using it to pay interest on the loan as well as business and personal expenses, told clients that he was indicating to the bank to change the guarantors of the loan when he did not, informed the clients that the loan was current when it was not and filed bankruptcy after promising to have the clients released as guarantors on the $5 million dollar loan. The Commission found that Mr. Davis’ conduct violated Rules 102, 103(d), 202, 401(a), 501, 606(b) and 607 of CFP Board’s Code of Ethics and Rules 1.4 and 6.5 of CFP Board’s Rules of Conduct as well as Practice Standards 400-3 and 500-2, providing grounds for discipline under Articles 3(a) and 3(b) of CFP Board’s Disciplinary Rules and Procedures. In accordance with Article 4.4 of the Disciplinary Rules, CFP Board issued a Revocation of Mr. Davis’ CFP® certification. Mr. Davis’ revocation is effective as of August 14, 2014.

Effective Date

4/6/2012

In April 2012, CFP Board issued Mr. Davis an interim suspension of his right to use the CFP® certification marks. CFP Board received notice of allegations that Mr. Davis misappropriated client funds that were intended to be used in the purchase of stock and that Mr. Davis forged the client’s named on loan guarantees. When questioned by the Commission regarding these allegations, Mr. Davis declined to respond, citing his Fifth Amendment rights. Pursuant to Article 5.7 of the Disciplinary Rules and Procedures, CFP Board issued an Automatic Interim Suspension because Mr. Davis failed to meet his burden to demonstrate that he did not pose an immediate threat to the public and that his conduct did not impinge upon the stature and reputation of the CFP® certification marks. Under the interim suspension order, Mr. Davis’s right to use the CFP® certification marks is suspended pending CFP Board’s completed investigation, and possible further disciplinary proceedings. The interim suspension order became effective on April 6, 2012.

About CFP Board's Disciplinary Process

Ethical conduct is a central requirement of the CFP® certification, and CFP Board actively enforces its ethical standards. All individuals who hold the CFP® certification agree to abide by the rigorous ethics and practice standards contained in CFP Board’s Code of Ethics and Standards of Conduct (Code and Standards). In situations where CFP Board learns that a CFP® professional’s conduct may be in violation of the Standards, it conducts an investigation following the process outlined in CFP Board’s Disciplinary Rules and Procedures.

The Disciplinary and Ethics Commission (formerly known as the Board of Professional Review) is responsible for interpreting and applying CFP Board's Code and Standards to specific fact situations involving professionals and imposing, where necessary, the appropriate discipline. The Commission may impose several types of discipline, up to the permanent revocation of an individual’s right to use the CFP® certification marks. Individuals who are listed above with indication of a CFP Board public disciplinary history have received a public discipline – either a public letter of admonition, suspension of CFP® certification, or permanent revocation of CFP® certification. Individuals may also be disciplined privately with a cautionary letter or private censure; a private discipline is confidential and not available to the public through this search function or other means.