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Certification & Background
Mr. Larry K. Stoker
Certification Status
Revoked
Company
Summit Financial Resources
Address
4188 N Pennfield Pl
Boise, ID 83713-9564
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
2/1/1996
In December 1995, CFP Board revoked Mr. Stoker’s right to use the CFP marks after he failed to notify CFP Board of his professional suspensions, revocations and criminal record as required. CFP Board discovered that, as a result of a 1991 conviction for lewd conduct with a minor under sixteen, Mr. Stoker was placed on probation and had his license revoked by his state’s Division of Insurance. CFP Board also discovered that Mr. Stoker was fined $500 and suspended for 90 days by his state’s Department of Finance for violating an administrative agreement involving Mr. Stoker’s responsibilities in conducting estate planning seminars. The Department of Finance also found that Mr. Stoker failed to report the withheld judgment of August 1991 by submitting an incomplete application for renewal of his investment adviser license. Mr. Stoker’s investment adviser license was suspended for 180 days, and he was ordered to promptly amend his ADV and submit it to the Department of Finance.
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.