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Financial Planners

Certification, Licensing, and Special Requirements

Certification or Licensing

Education alone will not motivate clients to easily turn over their finances to you. Many financial professionals are licensed on the state and federal levels in financial planning specialties, such as stocks and insurance. The U.S. Securities and Exchange Commission and most states have licensing requirements for investment advisers, a category under which most financial planners also fall. However, most of the activities of planners are not regulated by the government. Therefore, to show credibility to clients, most financial planners choose to become certified as either a certified financial planner (CFP) or a chartered financial consultant (ChFC).

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