If you plan to attend CFP Ethics be sure to select that option when you register for the FPA DFW Conference. This will ensure that you receive the virtual meeting link and calendar invite.
CFP ETHICS CE: CFP Board’s Revised Code and Standards/Enhancing Your Ethical Intelligence
Speaker: Charles Garcia, JD, CFP®, PAX Financial
Join our host, Charles Garcia, JD, CFP® for your required 2-hours of CFP Ethics. This course fulfills the 2 hour CFP Board of Standards Ethics requirement. It does not qualify for CPA, CIMA, AIF or other designations.
As part of CFP® certification, all CFP® professionals commit to uphold the high standards outlined in the Code of Ethics and Standards of Conduct. This helps give clients confidence they're partnering with a financial advisor who will put them on the path to a secure future. The CFP Board's Code of Ethics and Standards of Conduct requires CFP® professionals to uphold the principles of integrity, objectivity, competence, fairness and confidentiality. They make a commitment to put their clients' interests first at all times when providing financial advice.
CFP Ethics CE will be submitted to the CFP Board of Standards by FPA San Antonio/South Texas.
Learning objectives:
- Understand the structure and content of the revised Code and Standards, including significant changes from prior rules
- Describe CFP Board's Fiduciary Duty, and identify material conflicts of interest and how to avoid or full disclose, obtain informed consent, and manage them
- Understand the duty to report to CFP Board and the duty to cooperate
- Identify the practice standards when providing financial advice that requires financial planning and understand the duty to provide information to clients when providing financial planning and/or financial advice.
About the speaker:
With nearly 30 years of experience, Charles has provided leadership throughout several areas of the financial services industry. In his current role as Vice President of Advisory Services, Charles delivers personalized financial advice and planning to clients. He also serves as the advisor coach and supports the integration of PAX’s strategic objectives into the daily routines of the advisory team.
While in college, Charles landed a job pulling microfilm in the basement of a mutual fund company when he realized a knack and interest in financial planning. He graduated from the University of Houston with degrees in Psychology and Military Science. A lifelong learner, Charles has obtained several industry certifications, licenses, and designations, as well as a Juris doctorate (law degree) in 2014. His professional trajectory has taken him through Fortune 500 companies, Wall Street brokerage firms, and even his own advisory firm. He joined PAX Financial Group in 2019 and brings a passion for small businesses, where every employee plays a vital role in shaping the company’s culture and fostering success. He serves on multiple non-profit boards and is the current Chairman of the Financial Planning Association for San Antonio and South Texas Chapter.
Charles, along with his wife of over 25 years, and their three children are longtime Texans with roots planted in San Antonio. An avid fan of BBQ and a part-time writer, Charles maintains a love/hate relationship with running; having completed over two dozen marathons and ultramarathons.