Careers

We are always looking for great people to join our team!

We are proud of our work and wouldn't be successful without our passionate team of dedicated people. If you want to be part of a hard-working group of professionals in a fun and rewarding environment, we invite you to check out our open positions.

If the right job for you isn't listed, please send us your resume.

Open Positions:

Financial Advisor

With your extraordinary knowledge and integrity, we know that clients invest their trust in you. Join an award-winning team that supports you with some of the best technology and fintech offerings and a world-class custodian. You will build long-term, dedicated relationships with customers by bringing them peace of mind as you guide them through wealth management and retirement planning strategies. While your technical skills may get your foot in the door, your people skills are what open most doors. Your work ethic, attitude, communication skills, emotional intelligence, and other personal attributes are the soft skills that are crucial for success. Getting along with people and displaying a positive attitude is critical and what our firm is built on.


The Expertise We're Looking For

  • A CFP® is preferred, or willing to obtain it
  • Series 65, if no CFP®
  • Experience working with High-Net-Worth clients



The Purpose of Your Role
We fully support you with an open architecture platform and top resources in the financial industry while you nurture relationships with new and existing clients. Your focus, motivational skills, and leadership qualities are prime attributes as you provide the appropriate investment solutions to existing clients and help acquire new clients. You are expected to be a key contributor to a positive work environment with a solid commitment to teamwork and shared success. You will be expected to own your professional development plan and acquire additional skills that ensure continued growth and practical contributions to the firm.


The Skills You Bring

  • You demonstrate a deep understanding of financial markets and can effectively simplify complex financial concepts while building rapport and credibility with highly valued clientele
  • Extensive knowledge of the financial planning process and various investment products
  • Ability to thoughtfully provide customized advice and guidance and bring together additional client assets while engaging in positive, client-centered discussions
  • Collaborating with multiple business partners allows you to craft an exceptional client experience



The Value You Deliver

  • No longer spending time on cold calls and sourcing new clients, you can impact the lives of our clients through deepening relationships and complex financial planning
  • Your integrity, insights, interpersonal skills, and meticulous planning allow you to support our clients as they look to reach their goals
  • Educating customers on the technology and channels available to them to better monitor, maintain, and handle their investment



Company Overview
At Principle Wealth, our clients are at the heart of everything we do. Recognized as one of the best wealth management firms in the Nation by Barron’s and Forbes, we are an independent, full-service firm. Since our founding, our mission has remained the same: to pursue a better life for our clients and staff. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees.


Location:

  • This position is located onsite in our Madison, CT office


Compensation:

  • This role offers a competitive salary, plus variable compensation


Every full-time position at Principle Wealth offers the following:

  • Medical, dental, and vision benefits
  • Life and disability insurance
  • 401K program with matching
  • Charity donation match
  • Tuition reimbursement for relevant financial services classes or certifications 

To apply to this position, please, send your resume and cover letter to careers@principlewealthpartners.com

Client Service Manager

Position Overview

The Client Service Manager (CSM) plays a critical role in delivering a best-in-class client experience. Working closely with Wealth Advisors, Relationship Managers, and Operations professionals, the CSM serves as a primary point of contact for clients while coordinating account servicing, operational requests, and ongoing relationship support.

The ideal candidate is highly organized, detail-oriented, proactive, and genuinely enjoys helping others. This individual thrives in a fast-paced environment, takes ownership of client needs, and consistently follows through on commitments.

 

Key Responsibilities

Client Service & Relationship Support

  • Serve as a primary service contact for assigned client relationships.

  • Build trusted relationships through responsive, proactive communication.

  • Deliver a warm, professional, and personalized client experience.

  • Respond promptly and accurately to client requests and inquiries.

  • Maintain a thorough understanding of client relationships and service needs.

  • Coordinate and facilitate client service requests from start to finish.


Account Administration & Operations

  • Process account openings, transfers, money movement requests, beneficiary updates, and account maintenance activities.

  • Coordinate paperwork and documentation requirements with custodians and clients.

  • Monitor account transfer activity and proactively communicate status updates.

  • Assist with retirement account distributions, contribution processing, and other operational requests.

  • Ensure transactions are processed accurately and in accordance with firm policies and regulatory requirements.

  • Maintain accurate client records and documentation within CRM and operational systems.


Meeting & Advisor Support

  • Assist advisors with meeting preparation, client review materials, and follow-up activities.

  • Prepare account summaries, service reports, and meeting documentation.

  • Document client interactions and meeting notes in CRM systems.

  • Track and complete post-meeting action items.

  • Support ongoing planning and service initiatives for client households.


Client Experience Excellence

  • Anticipate client needs and identify opportunities to enhance the relationship.

  • Ensure all client requests are handled with a sense of urgency and ownership.

  • Participate in delivering a consistent client experience across all teams.

  • Support client events, educational programs, and appreciation initiatives.

  • Contribute ideas that improve processes, efficiency, and client satisfaction.


Team Collaboration

  • Partner closely with advisors, relationship managers, operations personnel, and firm leadership.

  • Coordinate with attorneys, CPAs, custodians, and other professional partners when appropriate.

  • Participate actively in team meetings and firm initiatives.

  • Foster a positive, collaborative culture focused on shared success.


What Makes Someone Successful in This Role

  • Takes ownership of client requests and follows through to completion.

  • Communicates proactively and professionally.

  • Demonstrates empathy, patience, and emotional intelligence.

  • Maintains accuracy while managing multiple priorities.

  • Builds trust with clients, business partners, and teammates alike.

  • Consistently looks for ways to improve the client experience.

  • Thrives in a collaborative, service-oriented culture.


Qualifications

  • 2+ years of experience in wealth management, financial services, or banking.

  • Bachelor's degree preferred but not required.

  • Experience supporting high-net-worth or affluent clients preferred.

  • Familiarity with custodial platforms, CRM systems, and portfolio reporting tools.

  • Strong organizational and multitasking abilities.

  • Exceptional written and verbal communication skills.

  • Demonstrated attention to detail and commitment to accuracy.

  • Ability to work independently while contributing effectively within a team environment.



Company Overview   

Our mission is simple: help clients live better. Everything we do, from financial planning and investment management to client service and relationship building, is focused on helping our clients achieve what matters most to them. At Principle Wealth, our clients are at the center of every decision we make. As an independent, full-service wealth management firm recognized by Barron's and Forbes among the nation's leading firms, we are committed to delivering thoughtful advice, exceptional service, and meaningful long-term relationships. Since our founding, our mission has remained unchanged: to help our clients and our team members pursue a better life. We serve individuals and families through comprehensive wealth management, financial planning, and investment guidance. We partner with businesses and nonprofit organizations to provide employee benefit solutions, and we support institutions and independent advisors with investment management and technology resources designed to enhance outcomes for their clients. At our core, we believe that great planning, disciplined investing, and genuine relationships can make a meaningful difference in people's lives.

 

Compensation

  • This role offers a competitive salary and bonus compensation plan based on experience and performance.


 

Every full-time position at Principle Wealth offers the following:

  • Medical, dental, and vision benefits

  • Life and disability insurance

  • 401K program with matching

  • Charity donation match

  • Tuition reimbursement for relevant financial services classes or certifications



To apply to this position, please, send your resume and cover letter to careers@principlewealthpartners.com.

Relationship Manager

Position Overview 

The Relationship Manager is a key member of the advisory team, helping deliver a consistent, exceptional client experience. This individual will work closely with Wealth Advisors to support client relationships, prepare financial plans, coordinate planning recommendations, and ensure timely follow-through on client needs.

The successful candidate will possess strong organizational skills, attention to detail, excellent communication abilities, and a genuine desire to help clients achieve their financial goals.

 

Key Responsibilities 

Client Relationship Management

  • Serve as a primary point of contact for assigned client relationships.

  • Build and maintain trusted relationships through proactive communication and ongoing support.

  • Respond to client inquiries in a timely, professional, and accurate manner.

  • Coordinate and schedule client meetings, reviews, and planning discussions.

  • Ensure all client requests are tracked and completed efficiently.

  • Maintain complete and accurate client records within CRM systems.

  • Assist with onboarding new client relationships and account transitions.

  • Coordinate client deliverables, follow-up items, and service requests.


Financial Planning & Paraplanning Support

  • Gather, organize, and analyze client financial data.

  • Prepare and update comprehensive financial plans using planning software.

  • Assist advisors with retirement, cash flow, tax, insurance, estate, education, investment planning analyses, or other.

  • Review client plans for accuracy and completeness.

  • Assist with estate planning reviews, beneficiary audits, and trust coordination.

  • Support retirement income planning and distribution strategies.

  • Assist with tax planning opportunities and year-end planning initiatives.

  • Coordinate implementation of planning recommendations with clients and outside professionals.


Meeting Preparation & Follow-Up

  • Prepare advisors for client meetings by gathering relevant information and updating planning materials.

  • Create meeting packets, performance reports, and planning presentations.

  • Document meeting notes and action items promptly.

  • Ensure all post-meeting tasks are assigned, tracked, and completed.

  • Maintain planning workflows and service calendars.


Team Collaboration

  • Partner closely with Wealth Advisors, Client Service Managers, Investment Management, and Fiduciary Services teams.

  • Coordinate with clients' attorneys, CPAs, and other professional advisors when appropriate.

  • Participate in team meetings, planning discussions, and firm initiatives.

  • Contribute ideas to improve client experience, operational efficiency, and planning processes.


Business Development Support 

  • Assist advisors in maintaining referral and center-of-influence relationships.

  • Help coordinate client events, educational seminars, and appreciation activities.

  • Identify opportunities to deepen client relationships and expand planning engagement.

  • Support efforts to incorporate held-away assets into the client's comprehensive financial plan.


What Success Looks Like 

  • Clients receive proactive, timely, and thoughtful service.

  • Financial plans are accurate, comprehensive, and actionable.

  • Advisors are well-prepared and supported before, during, and after client meetings.

  • Planning opportunities are identified and implemented consistently.

  • Client follow-through is completed with a high degree of accountability.

  • Relationships with clients and professional partners continue to deepen over time.

 

Qualifications 

  • Bachelor's degree preferred but not required.

  • 2–5+ years of experience in wealth management, financial planning, private wealth, or a related financial services role.

  • CFP® designation or CFP® coursework preferred.

  • Experience with financial planning software such as MoneyGuidePro, RightCapital, eMoney, or similar platforms.

  • Familiarity with CRM and portfolio reporting systems.

  • Strong analytical, organizational, and problem-solving skills.

  • Excellent written and verbal communication abilities.

  • Ability to manage multiple priorities in a fast-paced environment.

  • Strong attention to detail and commitment to accuracy.

 


Company Overview   

Our mission is simple: help clients live better. Everything we do, from financial planning and investment management to client service and relationship building, is focused on helping our clients achieve what matters most to them. At Principle Wealth, our clients are at the center of every decision we make. As an independent, full-service wealth management firm recognized by Barron's and Forbes among the nation's leading firms, we are committed to delivering thoughtful advice, exceptional service, and meaningful long-term relationships. Since our founding, our mission has remained unchanged: to help our clients and our team members pursue a better life. We serve individuals and families through comprehensive wealth management, financial planning, and investment guidance. We partner with businesses and nonprofit organizations to provide employee benefit solutions, and we support institutions and independent advisors with investment management and technology resources designed to enhance outcomes for their clients. At our core, we believe that great planning, disciplined investing, and genuine relationships can make a meaningful difference in people's lives.

 


Compensation

This role offers a competitive salary and bonus compensation plan based on experience and performance. 


Every full-time position at Principle Wealth offers the following:

  • Medical, dental, and vision benefits

  • Life and disability insurance

  • 401K program with matching

  • Charity donation match

  • Tuition reimbursement for relevant financial services classes or certifications

 

To apply to this position, please, send your resume and cover letter to careers@principlewealthpartners.com.

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Terms Of Use & Disclaimers

Principle Wealth Partners LLC is an SEC registered investment advisor. Advisory services are only offered to clients or prospective clients where Principle Wealth Partners and its representatives are properly licensed or exempt from licensure.

Important Disclaimers

Principle Wealth Partners LLC ("PWP") is a Registered Investment Advisor ("RIA"), located in the State of Connecticut. PWP provides investment advisory and related services for clients nationally. PWP will maintain all applicable registration and licenses as required by the various states in which PWP conducts business, as applicable. PWP renders individualized responses to persons in a particular state only after complying with all regulatory requirements, or pursuant to an applicable state exemption or exclusion.

Terms of Use

Please read these terms and conditions of use (“Terms”) carefully before using the website located at https://principlewealthpartners.com/ (“Website”) or any of the information or services provided by Principle Wealth Partners LLC (collectively “PWP”, “we”, “our”, “us”) in connection with the Website. By using the Website, you acknowledge that you have read and understood these Terms and accept to be legally bound by them. If you do not accept and agree to these Terms, you are not an authorized user of the Website or any of the information or services provided by PWP in connection with the Website and should promptly terminate all use thereof. The terms “you” and “your” mean you and any entity you may represent in connection with the use of the Website. You may use your browser to download or print a copy of these Terms for your records.

PWP reserves the right to change, modify, add or remove portions of these Terms at any time for any reason. We suggest that you review these Terms periodically for changes. Such changes shall be effective immediately upon posting. You acknowledge that by accessing our Website after we have posted changes to these Terms, you are agreeing to these Terms as modified.

These Terms were last updated on December 31, 2025.

Risk Disclosure

Different types of investments involve varying degrees of risk. Therefore, it should not be assumed that future performance of any specific investment or investment strategy will be profitable.

Asset allocation may be used in an effort to manage risk and enhance returns. It does not, however, guarantee a profit or protect against loss. Performance of the asset allocation strategies depends on the underlying investments.

This website is intended to provide general information about PWP and its services. It is not intended to offer or deliver investment advice in any way. Information regarding investment services are provided solely to gain an understanding of our investment philosophy, our strategies and to be able to contact us for further information.

Market data, articles and other content on this website are based on generally available information and are believed to be reliable. PWP does not guarantee the accuracy of the information contained in this website. The information is of a general nature and should not be construed as investment advice.

Please remember that it remains your responsibility to advise PWP, in writing, if there are any changes in your personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising our previous recommendations and/or services, if you would like to impose, add, or to modify any reasonable restrictions to our investment advisory services.

PWP will provide all prospective clients with a copy of our current Form ADV, Part 2A ("Disclosure Brochure") and the Brochure Supplement for each advisory person supporting a particular client. You may obtain a copy of these disclosures on the SEC website at http://adviserinfo.sec.gov or you may Contact Us to request a free copy via .pdf or hardcopy.



Forbes 2025 Top RIA Firms – 2025

Source: SHOOK ® Research, LLC – October 2025 – Data as of 12/31/24. America’s Top Registered Investment Advisor (RIA) Firms ranking was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm of qualitative criteria including: a measure of best practices, client retention, industry experience, review of compliance records, and quantitative criteria such as revenue trends and assets under management. Investment performance is not a criterion because client objectives and risk tolerance vary, and advisors rarely have audited performance reports. Neither SHOOK nor Forbes receive compensation in exchange for its Registered Investment Advisor Firm placements or rankings, which are determined independently (see methodology above or at Forbes.com). Participation in this directory is limited to ranked firms; once placed on a ranking, firms may choose to pay fees to Forbes and Shook for premium listing features as indicated by highlighted names. Principle Wealth Partners has not paid SHOOK Research, LLC to be included on this list, however, Principle Wealth Partners has paid for the use of the award logo on various media.  SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor or firm and are not indicative of future performance or representative of any one client’s experience. Investors must carefully choose the right advisor or firm for their own situation and perform their own due diligence. Past performance is not an indication of future results. For more information, please see www.SHOOKresearch.com, SHOOK is a registered trademark of SHOOK Research, LLC.  Principle Wealth Partners and SHOOK Research, LLC are not affiliated. 

Forbes Best in State Wealth Advisors - 2026

SHOOK ® Research, LLC – April 2026 – Data as of 6/30/25. The 2026 Forbes Best-In-State Wealth Advisors rankings was developed in coordination with SHOOK research. This award is based on an algorithm of qualitative criterion for advisors who have a minimum of seven years of experience. This algorithm is qualitatively based, through due diligence reviews and quantitative data, factoring revenue trends, assets under management, compliance records, industry experience, and the encompassment of standards of preferred best practices. Portfolio performance is not considered as a part of the criteria. Over 45,000 advisors were nominated and more than 23,000 were invited to complete a survey. The Advisor does not pay Forbes or Shook in exchange for either the nomination or recognition. However, the Advisor does pay a fee for any marketing materials used that include the award’s ribbon. Principle Wealth Partners is not affiliated with Forbes or Shook Research, LLC. This ranking is not indicative of advisor’s future performance, is not an endorsement, and may not be representative of individual clients’ experience. The foregoing information has been obtained from sources considered to be reliable, but we do not guarantee that it is accurate or complete, it is not a statement of all available data necessary for making an investment decision, and it does not constitute a recommendation.

Forbes Best in State Top Next-Gen Wealth Advisors – 2025

Source: SHOOK ® Research, LLC – February 2025 – 2025 Forbes Best-In-State Wealth Advisors ranking were developed by SHOOK Research and are based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: experience in the industry (at least 1 year at current firm), acceptable compliance records, assets under management, best practices, and a recommendation from their firm.  Over 44,000 nominations were received, with over 23,000 advisors submitting an online survey to be included within the Forbes Best In State ranks.  Neither SHOOK nor Forbes receive compensation in exchange for its placement or rankings and recognition.  However, the Advisor does pay a fee for the usage of the award’s ribbon in various allowed media and advertisements.  Principle Wealth Partners is not affiliated with Forbes or Shook Research, LLC. This ranking is not indicative of advisor’s future performance, is not an endorsement, and may not be representative of individual clients’ experience. The foregoing information has been obtained from sources considered to be reliable, but we do not guarantee that it is accurate or complete, it is not a statement of all available data necessary for making an investment decision, and it does not constitute a recommendation. For more information, please see www.SHOOKresearch.com, SHOOK is a registered trademark of SHOOK Research, LLC. 

Forbes Best in State Top Women Wealth Advisors – 2026

SHOOK ® Research, LLC – February 2026 – Data as of 6/30/25. America’s Top Women Wealth Advisors Best-In-State ranking was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: experience in the industry (at least 1 year at current firm), acceptable compliance records, assets under management, best practices, an online survey and a recommendation from their firm. Over 11,800 nominations were received for this award. Investment performance is not a criterion because client objectives and risk tolerance vary, and advisors rarely have audited performance reports. Neither SHOOK nor Forbes receive compensation in exchange for its Top Women Wealth Advisors Best-In-State placements or rankings, which are determined independently. Participation in this directory is limited to ranked advisors; once placed on a ranking, advisors may choose to pay fees to Forbes and Shook for premium listing features as indicated by highlighted names. Neither Principle Wealth Partners nor its advisors have paid SHOOK Research, LLC to be included on this list, however, Principle Wealth Partners and its advisors have paid for the use of the award logo on various media. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor or firm and not indicative of future performance or representative of any one client’s experience. Investors must carefully choose the right advisor or firm for their own situation and perform their own due diligence. Past performance is not an indication of future results. For more information, please see www.SHOOKresearch.com, SHOOK is a registered trademark of SHOOK Research, LLC. Principle Wealth Partners and SHOOK Research, LLC are not affiliated.

Barron's Top 100 Independent Advisors - 2025

Source: Barron's “Top 100 Independent Advisors,” September, 2025. Barron’s “Top 100 Independent Advisors” bases its ratings on qualitative criteria provided by a 100+ question survey and verified through regulatory data, which provide a ranking framework.  Advisors must pass a prequalification process that aims to determine experience and sophistication before verification of data with regulatory databases before an internal rankings formula is applied.  This formula consists of 3 major categories with multiple subcategories within each.  Also considered is a wide range of qualitative factors, including but not limited to experience, advanced degrees and industry designations, the size, shape and diversity of their teams, compliance records, and charitable and philanthropic work. Because individual client portfolio performance varies and is typically unaudited, this rating focuses on customer satisfaction and quality of advice. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s past or future performance.  Neither Principle Wealth Partners nor its Financial Advisors pay a fee to Barron's in exchange for the rating, however Principle Wealth Partners does pay to use the award ribbon for marketing materials. Principle Wealth Partners is not affiliated with Barron’s or Dow Jones & Company, L.P. All of the information provided has been obtained from sources considered to be reliable, but we do not guarantee its accuracy or completeness, and does not constitute a recommendation. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.

Barron’s Top 1500 - 2026

Source: Barron’s “Top 100 1,500 Financial Advisors,” March, 2026. Barron’s “Top 1,500 Financial Advisors” bases its ratings on qualitative criteria provided by survey of more than 100 questions and verified through regulatory data, which provide a ranking framework. Additional criteria reviewed include experience, acceptable compliance records, formal succession plans, high client retention, advanced degrees and industry designations, the size and shape of their teams, and philanthropic work. Because individual client portfolio performance varies and is typically unaudited, this rating focuses on customer satisfaction and quality of advice. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s past or future performance. Neither Principle Wealth Partners nor its Financial Advisors pay a fee to Barron’s in exchange for the rating, however Principle Wealth Partners does pay to use the award ribbon for marketing materials. Principle Wealth Partners is not affiliated with Barron’s or Dow Jones & Company, L.P. All of the information provided has been obtained from sources considered to be reliable, but we do not guarantee its accuracy or completeness, and does not constitute a recommendation. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.

 Citywire – Fastest Growing RIAs - 2022

CityWire RIA, July 2022 Methodology: This report is based on the most recent Form ADV data reported to the Securities and Exchange Commission at the time of publication, as helpfully gathered by a data partner, Discovery Data. Only firms that manage more than $100m were considered, and which aren’t affiliated on a firm level with a broker-dealer or other institution (though a firm’s employees may be dually registered). Since we wanted to make sure we were only considering financial planning-oriented RIAs and not money managers, we excluded firms that don’t report having many financial planning clients. And, in the spirit of fostering apples-to-apples comparisons, we also generally excluded those where the bulk of assets were non-discretionary. We’ve also endeavored to remove RIAs whose assets under management aren’t truly ‘theirs”, so we did our best to strike companies that are primarily back-end service providers, operating under brand names that are likely unknown to the retail clients being served. Then we looked at percentage growth in AUM and percentage growth in employees over the last three years, summed those numbers, and came up with our ‘growth score.’ If a firm grew AUM by $100m over the past three years, it got a leg up in the rankings. From there it was simple to select the winner in each state, and then the runners-up if there were any. After doing all this, we reached out to some of the firms to learn more. The RIAs in this supplement did not ask to be here. There was no way to compensate to be considered or to be named. For that matter, they could not do anything to not be named. The mention of a RIA is not at all an endorsement of its services or its business.

FA Magazine America’s Top RIAs - 2022

Source: FA Magazine, July 2022 FA's RIA survey is a ranking based on assets under management at year end of independent RIA firms that file their own ADV with the SEC. FA's RIA ranking orders firms from largest to smallest, based on AUM reported to us by firms that voluntarily complete and submit FA's survey by our deadline. We do our best to verify AUM by reviewing ADV forms. To be eligible for the ranking, firms must be independent registered investment advisors and file their own ADV statement with the SEC and provide financial planning and related services to individual clients. Firms must have at least $500 million in assets under management as of December 31, 2021, to be included in the print edition of Financial Advisor magazine's 2022 RIA survey. Firms with under $500 million will be included in FA's expanded 2022 online RIA survey. Hybrid RIA firms, corporate RIA firms and investment advisor representatives (IARs) are not eligible for this survey. No fee was paid by either Financial Advisor magazine or Principle Wealth Partners for inclusion on this list, however, a fee was paid for the use of the award logo in marketing materials. Principle Wealth Partners and Financial Advisor magazine are not affiliated.

Fidelity Investments

Fidelity Investments (“Fidelity”) is an independent company unaffiliated with Principle Wealth Partners LLC. Fidelity is a service provider to Principle Wealth Partners LLC. Fidelity is a registered service mark of FMR LLC. Fidelity Investments® provides clearing, custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC. 1074375.1.0

 



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Accredited Behavioral Finance ProfessionalSM (“ABFPSM”)

The Accredited Behavioral Finance ProfessionalSM, or ABFPSM is currently offered and recognized by Kaplan Financial Education. Individuals who hold the ABFPSM studied to enhance their client interactions, emotional competencies and financial planning advice through an understanding of phycological explanations for economic behavior. To obtain the designation, there are no prerequisites. 16 hours of continuing education is required, every two years.


Accredited Wealth Management Advisor™ (“AWMA®”)

Individuals who hold the AWMA® designation have completed a course of study across eight modules to provide financial advice to high-net-worth clients, pass the final examination, and complete the designation application. Continued use of the designation is subject to ongoing renewal requirements. Every two years, individuals must renew their right to continue using the designation by:

Completing 16 hours of continuing education;

Reaffirming to abide by the Standards of Professional Conduct, Terms and Conditions, and a self-disclose any criminal, civil, self-regulatory organization, or governmental agency inquiry, investigation, or proceeding relating to their professional or business conduct; and

Paying a biennial renewal fee

AWMA® and Accredited Wealth Management Advisor™ are registered service marks of the College for Financial Planning.


Accredited Portfolio Management Advisor™ (“APMA®”)

Individuals who hold the APMA® designation have completed a course of study encompassing client assessment and suitability, risk/return, investment objectives, bond and equity portfolios, modern portfolio theory and investor psychology. Students have hands-on practice in analyzing investment policy statements, building portfolios, and making asset allocation decisions including sell, hold, and buy decisions within a client’s portfolio. Additionally, individuals must pass an end-of-course examination that tests their ability to synthesize complex concepts and apply theoretical concepts to real-life situations. All designees have agreed to adhere to Standards of Professional Conduct™ and are subject to a disciplinary process. Designees renew their designation every two years by completing 16 hours of continuing education, reaffirming adherence to the Standards of Professional Conduct™ and complying with self-disclosure requirements.


CERTIFIED FINANCIAL PLANNER™ (“CFP®”)

The CERTIFIED FINANCIAL PLANNER™, CFP® and federally registered CFP® (with flame design) marks (collectively, the “CFP® marks”) are professional certification marks granted in the United States by the Certified Financial Planner Board of Standards, Inc. (“CFP® Board”). 

The CFP® certification is a voluntary certification; no federal or state law or regulation requires financial planners to hold the CFP® certification. It is recognized in the United States and a number of other countries for its (1) high standard of professional education; (2) stringent code of conduct and standards of practice; and (3) ethical requirements that govern professional engagements with clients. Currently, more than 71,000 individuals have obtained CFP® certification in the United States. 

To attain the right to use the CFP® marks, an individual must satisfactorily fulfill the following requirements:

Education – Complete an advanced college-level course of study addressing the financial planning subject areas that CFP® Board’s studies have determined as necessary for the competent and professional delivery of financial planning services, and attain a Bachelor’s Degree from a regionally accredited United States college or university (or its equivalent from a foreign university). CFP® Board’s financial planning subject areas include insurance planning and risk management, employee benefits planning, investment planning, income tax planning, retirement planning, and estate planning;

Examination – Pass the comprehensive CFP® Certification Examination. The examination includes case studies and client scenarios designed to test one’s ability to correctly diagnose financial planning issues and apply one’s knowledge of financial planning to real world circumstances;

Experience – Complete at least three years of full-time financial planning-related experience under the supervision of a CFP® professional (or the equivalent, measured as 2,000 hours per year); and
Ethics – Agree to be bound by CFP® Board’s Standards of Professional Conduct, a set of documents outlining the ethical and practice standards for CFP® professionals. 

Individuals who become certified must complete the following ongoing education and ethics requirements in order to maintain the right to continue to use the CFP® marks: 

Continuing Education – Complete 30 hours of continuing education hours every two years, including two hours on the Code of Ethics and other parts of the Standards of Professional Conduct, to maintain competence and keep up with developments in the financial planning field; and

Ethics – Renew an agreement to be bound by the Standards of Professional Conduct. The Standards prominently require that CFP® professionals provide financial planning services at a fiduciary standard of care. This means CFP® professionals must provide financial planning services in the best interests of their clients.

CFP® professionals who fail to comply with the above standards and requirements may be subject to CFP® Board’s enforcement process, which could result in suspension or permanent revocation of their CFP® certification.


Certified Exit Planning Advisor™ (“CEPA®”)

The Certified Exit Planning Advisor™ and CEPA® are professional certification marks granted by The Exit Planning Institute®. It is recognized as the designation that business owners look for when looking for a trusted advisor. CEPA® applicants must meet strict requirements, including: a minimum of a bachelor’s degree from an accredited U.S. college or university (or the equivalent from a foreign university); completion of the 5-day CEPA® program taught by a faculty of experts; and passing the CEPA® exam consisting of 150 multiple choice questions. Applicants must also have 5 years of experience dealing with the owners of privately-held businesses in some advisory capacity. All applicants for the CEPA® program must sign an attestation agreeing to abide by the Code of Ethics and Professional Standards™ of the Exit Planning Institute.


CEPA® advisors must complete ongoing continuing professional education and ethics requirements to maintain their certification, with recertification every three years and completing 40 hours of continuing education. More information on the CEPA® designation can be found on the Exit Planning website:  www.exit-planning-institute.org

 
Certified Investment Management AnalystSM (CIMA®)

The CIMA certification signifies that an individual has met initial and ongoing experience, ethical, education, and examination requirements for investment management consulting, including advanced investment management theory and application. To earn CIMA certification, candidates must: submit an application, pass a background check and have an acceptable regulatory history; pass an online Qualification Examination; complete an in-person or online executive education program at an AACSB accredited university business school; pass an online Certification Examination; and have an acceptable regulatory history as evidenced by FINRA Form U-4 or other regulatory requirements and have three years of financial services experience at the time of certification.

CIMA certificants must adhere to IMCA’s Code of Professional Responsibility, Standards of Practice, and Rules and Guidelines for Use of the Marks. CIMA designees must report 40 hours of continuing education credits, including two ethics hours, every two years to maintain the certification. The designation is administered through Investment Management Consultants Association (IMCA).
 

Certified Private Wealth Advisor™ (“CPWA®”)

The CPWA® designation signifies that an individual has met initial and on-going experience, ethical, education, and examination requirements for the professional designation, which is centered on private wealth management topics and strategies for high-net-worth clients. Prerequisites for the CPWA® designation are: A Bachelor’s degree from an accredited college or university or one of the following designations or licenses: CIMA®, CIMC®, CFA®, CFP®, ChFC®, or CPA® license; have an acceptable regulatory history as evidenced by FINRA Form U-4 or other regulatory requirements and five years of professional client-centered experience in financial services or a related industry. CPWA® designees have completed a rigorous educational process that includes self-study requirements, an in-class education component, and successful completion of a comprehensive examination. CPWA® designees are required to adhere to IMCA’s Code of Professional Responsibility and Rules and Guidelines for the use of the Marks. CPWA® designees must report 40 hours of continuing education credits, including two ethics hours every two years to maintain the certification. The designation is administered through the Investment Management Consultants Association™ (IMCA®).


Certified Securities Compliance Professional- Investment Adviser® (CSCP-IA®)

The Certified Securities Compliance Professional- Investment Adviser® (CSCP-IA®) designation is awarded to experienced financial services compliance professionals who have completed the 14-week online course and passed the certifying examination. The course covers several topics, such as compliance program development and management, the monitoring and testing of policies and procedures, ethics and conflicts of interest, as well as other relevant topics. The designation signifies intermediate to advanced proficiency in securities compliance and a commitment to advancing compliance best practices.


Chartered Financial Analyst™ (“CFA®”)

The Chartered Financial Analyst™ (“CFA®”) charter is a professional designation established in 1962 and awarded by CFA® Institute. To earn the CFA® charter, candidates must pass three sequential, six-hour examinations over two to four years. The three levels of the CFA® Program test a wide range of investment topics, including ethical and professional standards, fixed-income analysis, alternative and derivative investments, and portfolio management and wealth planning. In addition, CFA® charter holders must have at least four years of acceptable professional experience in the investment decision-making process and must commit to abide by, and annually reaffirm their adherence to the CFA® Institute Code of Ethics and Standards of Professional Conduct. CFA® is a trademark owned by CFA® Institute.

 
Chartered Financial Consultant® (ChFC®)

The Chartered Financial Consultant® (ChFC®) program prepares you to meet the advanced financial planning needs of individuals, professionals and small business owners. You'll gain a sustainable advantage in this competitive field with in-depth coverage of the key financial planning disciplines, including insurance, income taxation, retirement planning, investments and estate planning. The ChFC® requires three years of full-time, relevant business experience, nine two-hour course specific proctored exams, and 30 hours of continuing education every two years. Holders of the ChFC® designation must adhere to The American College’s Code of Ethics.
 

Program Objectives:

Function as an ethical, competent and articulate practitioner in the field of financial planning

Utilize the intellectual tools and framework needed to maintain relevant and current financial planning knowledge and strategies.

Apply financial planning theory and techniques through the development of case studies and solutions.

 Apply in-depth knowledge in a holistic manner from a variety of disciplines; namely, estate planning, retirement planning or non-qualified deferred compensation.

 
Chartered Market Technician™ (“CMT®”)

The Chartered Market Technician™(CMT®) Program requires candidates to demonstrate proficiency in a broad range of topics in the field of Technical Analysis. The Program consists of three levels. The CMT® Level I and CMT® Level II exams are multiple-choice while the CMT® Level III exam is in short answer and essay form. Those candidates who complete all three levels of the CMT® examination and agree to abide by the Market Technicians Association Code of Ethics are granted the right to use the CMT® credential.

 
Financial Paraplanner Qualified ProfessionalTM (“FPQP®”)

Individuals who hold the Financial Paraplanner Qualified ProfessionalTM or FPQP® designation have completed a course of study encompassing the financial planning process, the five disciplines of financial planning and general financial planning concepts, terminology and product categories. Additionally, individuals must pass an end-of- course examination that tests their ability to synthesize complex concepts and apply theoretical concepts to real-life situations. All designees have agreed to adhere to Standards of Professional Conduct and are subject to a disciplinary process. Designees renew their designation every two-years by completing 16 hours of continuing education, reaffirming adherence to the Standards of Professional Conduct and complying with self-disclosure requirements.


NRS Investment Adviser Certified Compliance Professional® (IACCP®)

The NRS Investment Adviser Certified Compliance Professional® (IACCP®) designation is awarded to knowledgeable, experienced individuals who complete an instructor-led program of in-person and/or online study, pass a certifying examination, and meet its work experience, ethics and continuing education requirements. The designation signifies intermediate-level knowledge of investment adviser regulation and compliance best practices, and adherence to nationally recognized professional standards and ethical leadership. 

Exhaustive certification and course development, together with expert instructors and facilitators from the compliance, legal, regulatory, financial industry, and academic sectors, help ensure that individuals earning the IACCP designation have been trained, tested and certified to meet high industry professional standards. 

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