Financial Professional Titles – Did You Earn That?

September 2013


Many investors find it difficult to understand which titles must be earned and which titles can simply be used. Those financial professionals who have gone through an accreditation program, had their experience verified and have ongoing compliance obligations in order to maintain their title, may help to make that professional more appealing to potential investors or employers.

Because of this confusion, the Securities and Exchange Commission (“SEC”) and the North American Securities Administrators Association (“NASAA”) recently published a bulletin to assist in clarifying those titles and provided ideas on how to verify the accuracy of the titles.1

This article highlights some of the most popular titles frequently used by professionals that could
be unclear on whether or not they must be earned and how to verify such information.


To read the full PDF article, click here.

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