About Our Designations
Certified Financial Planner™ Professional
Dan Sperow
Hunter Conley
To earn the CFP® certification from the Certified Financial Planner Board of Standards, Inc., a Financial professional has met rigorous education, examination, experience and ethics requirements.
Education
Taking a comprehensive approach to meeting clients’ financial needs, a Financial professional with the CFP® certification has completed training on nearly 100 integrated financial topics, including:
•General principles of financial strategies
•Insurance planning and risk management
•Employee benefits planning
•Retirement and estate planning strategies
In addition to finishing the coursework on financial topics, the candidate is required to have earned a bachelor’s degree (or higher) or its equivalent, in any discipline, from an accredited college or university.
Examination
Passing the CFP® Certification Examination is another requirement for CFP® certification. This comprehensive exam is scheduled to take 10 hours to complete and tests each candidate’s knowledge, comprehension, application, analysis and synthesis of financial topics specified by the CFP Board.
Experience
The CFP Board also requires that, to fulfill the CFP® certification, a candidate must have sufficient work experience within one or more of the following six elements of financial services:
Establishing and defining the relationship with the client
Gathering client data, including goals
Analyzing and evaluating the client’s financial status
Developing and presenting financial recommendations and/or alternatives
Implementing the financial recommendations
Monitoring the financial recommendations
Ethics
The CFP® certification requires that a candidate agree to adhere to the CFP Board’s Code of Ethics and Professional Responsibility and to Financial Planning Practice Standards. A CFP® professional must also acknowledge the CFP Board’s right to enforce this code of ethics and practice standards.
Certified Investment Management Analyst®, CIMA® 
Gray Daus
Dan Sperow
The CIMA® certification signifies that an individual has met initial and on-going experience, ethical, education, and examination requirements for investment management consulting, including advanced investment management theory and application. CIMA® designees are required to adhere to the Investments & Wealth Institute’s Code of Professional Responsibility, Standards of Practice, and Rules and Guidelines for Use of the Marks. CIMA® designees must complete sufficient continuing education every two years to maintain the certification. The designation is administered through the Investments & Wealth Institute and taught in conjunction with The Wharton School of Business at the University of Pennsylvania.
Certified Private Wealth Advisor®, CPWA®
Gray Daus
Dan Sperow
The Certified Private Wealth Advisor designation offers a rigorous educational program. It focuses on these advance wealth management topics:
• Behavioral finance
• Charitable and estate planning
• Planning for closely held businesses
• Planning for executives
• Portfolio management
• Retirement planning
• Risk management
• Tax planning
The comprehensive curriculum provides the level of training wealth managers and advisors need to better serve high-net-worth clients.
The designation is administered through the Investments & Wealth Institute and taught in conjunction with The University of Chicago Booth School of Business.
Accredited Wealth Management Advisor SM, AWMA®
Gray Daus
Individuals who hold the AWMA® designation have completed a course of study encompassing wealth strategies, equity-based compensation plans, tax reduction alternatives, and asset protection alternatives. Individuals must pass an examination to test their ability to take complex scenarios and apply theoretical concepts to real-life situations.
Chartered Retirement Planning Counselor SM, CRPC®
Dan Sperow
Eddie Watson
Individuals who hold the CRPC® designation have completed a course based on these topics:
• Pre-and post-retirement needs
• Asset management
• Estate planning
The program includes the entire retirement planning process using models and techniques from real client situations. Individuals must pass an examination to test their ability to take complex scenarios and apply theoretical concepts to real-life situations.
Wells Fargo Advisors is not a legal or tax advisor. However, we will be glad to work with you, your accountant, tax advisor and or lawyer to help you meet your financial goals.
Chartered Financial Analyst, CFA®
Hunter Conley
Eric Sheridan
The CFA® designation is given to investment professionals who have successfully completed the requirements set by the globally recognized CFA Institute. As part of their requirements, the professional must:
Pass three rigorous exams. These exams are broken down as levels.
Level I Exam – This places a major emphasis on general knowledge and comprehension of various financial and investing subjects. There are two three-hour sessions that include 120 multiple choice questions each.
Level II Exam – In this section it delves into case studies that involve in-depth application and practical analysis. There are two parts to the test with 10-11 questions each.
Level III Exam – This focuses on a synthesis between knowledge and practicality. The morning session is headlined by 8-12 essay questions, while the afternoon session has another 11 case studies.
They must have four years of professional experience (or education equivalent). They must become a CFA Institute member by committing to their high level Code of Ethics and Standards of Professional Conduct. The CFA designation distinguishes the charterholder from other practitioners in the eyes of professionals and investors. A successful CFA charterholder has proven their ability to withstand rigorous testing, shown a capacity for learning, and made a serious commitment to conduct their professional life according to high ethical standards.
Chartered SRI Counselor, CSRIC®
Eddie Watson
The Chartered SRI Counselor™ (CSRIC™) professional designation is a groundbreaking certification in the fast-growing field of sustainable, responsible and impact investing (SRI).
• The CSRIC™ designation is the first major financial credential dedicated specifically to sustainable investing.
• The CSRIC™ program was developed in collaboration with industry-group leader US SIF: The Forum for Sustainable and Responsible Investment. It provides financial advisors and investment professionals with information about the history, definitions, trends, portfolio construction principles, fiduciary responsibilities, and best practices for sustainable investments.
• A CSRIC™ designee can design the optimal financial portfolio for clients while focusing specifically on environmental, social, and governance (ESG) factors and SRI principles.
