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Wealth Management Regulatory Resources

Designations from the College for Financial Planning®—a Kaplan Company are highly regarded by key regulatory bodies.

ADV Brochure Supplement

The following text is provided to assist investment advisors who are registered with the SEC comply with the Form ADV brochure supplement (Part 2B) requirement. Advisors may use the entire text or choose sections to copy and paste.

Disciplinary Actions Reporting

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