A stockbroker, share holderregistered representative, trading representative, or more broadly, an investment broker, investment adviser, financial adviser, wealth manager, or investment professional is a regulated broker, broker-dealer, or registered investment adviser who may provide financial advisory and investment management services and execute transactions such as the purchase or sale of stocks and other investments to financial market participants in return for a commission, markup, or fee, which could be based on a flat rate, percentage of assets, or hourly rate. The term also refers to financial companies, offering such services.
The Canadian Securities Institute is a Canadian organization that offers licensing courses, advanced certifications, continuing education and custom training for financial services professionals in Canada and internationally.
The Municipal Securities Rulemaking Board (MSRB) writes investor protection rules and other rules regulating broker-dealers and banks in the United States municipal securities market, including tax-exempt and taxable municipal bonds, municipal notes, and other securities issued by states, cities, and counties or their agencies to help finance public projects or for other public policy purposes.
A financial planner or personal financial planner is a qualified financial advisor. Practicing in full service personal finance, they advise clients on investments, insurance, tax, retirement and estate planning.
The Certified Financial Planner (CFP) designation is a professional certification mark for financial planners conferred by the Certified Financial Planner Board of Standards in the United States, and by 25 other organizations affiliated with Financial Planning Standards Board (FPSB), the owner of the CFP mark outside of the United States.
An insurance broker is an intermediary who sells, solicits, or negotiates insurance on behalf of a client for compensation. An insurance broker is distinct from an insurance agent in that a broker typically acts on behalf of a client by negotiating with multiple insurers, while an agent represents one or more specific insurers under a contract.
A financial adviser or financial advisor is a professional who provides financial services to clients based on their financial situation. In many countries, financial advisors must complete specific training and be registered with a regulatory body in order to provide advice.
The American College of Financial Services is a private college focused on professional training for financial practitioners and located in King of Prussia, Pennsylvania. It offers several professional certifications, two types of master's degrees, and a PhD degree. Annually, The American College educates approximately 40,000 students, mainly through distance education.
Certified Engineering Technologist is a Canadian professional title awarded on the basis of academic qualification and work experience. Abbreviated as C.E.T., most Canadian provincial engineering and applied science technology associations offer this certification. Certification is voluntary and does not represent a provincial regulatory requirement or a statutory required license.
The Canadian Institute of Planners (CIP) is a professional organization in Canada for those involved in land use planning. It is responsible for advocating at national and international levels for members, developing public policy positions, and providing services to members. The institute has over 8,000 members from across Canadian, and serves as a national umbrella for the eleven Provincial and Territorial Institutes and Associations (PTIA).
Following is a partial list of professional certifications in financial services, with an overview of the educational and continuing requirements for each; see Professional certification § Accountancy, auditing and finance and Category:Professional certification in finance for all articles.
The CII's title Chartered Financial Planner is a widely accepted 'gold standard' qualification for professional financial planners and financial advisers in the United Kingdom.
A Chartered professional is a person who has gained a specific level of skill or competence in a particular field of work, which has been recognised by the award of a formal credential by a relevant professional organization. Chartered status is considered a mark of professional competency, and is awarded mainly by chartered professional bodies and learned societies. Common in Britain, it is also used in Ireland, the United States and the Commonwealth, and has been adopted by organizations around the world.
The Chartered Strategic Wealth Professional (CSWP) designation is a professional certification conferred by Canadian Securities Institute, a Canadian financial education company that provides courses, programs, certifications, and designations for financial industry professionals.
Insurance regulatory law is the body of statutory law, administrative regulations and jurisprudence that governs and regulates the insurance industry and those engaged in the business of insurance. Insurance regulatory law is primarily enforced through regulations, rules and directives by state insurance departments as authorized and directed by statutory law enacted by the state legislatures. However, federal law, court decisions and administrative adjudications also play an important role.
The Fellow of CSI (FCSI) is the highest credential offered by the Canadian Securities Institute (CSI)
The Ordre des administrateurs agréés du Québec (Adm.A.) is a professional Order mandated by the Government of Quebec (Canada) to regulate the practice of the "Administrateurs agréés".
The Chambre de la sécurité financière is the self-regulatory organization for representatives subject to Autorité des marchés financiers (Québec) distributing financial products and services, and Financial Planners of Quebec (Canada).
Canada Protection Plan is a Canadian life insurance company headquartered in Toronto, Ontario. Founded in 1992, its primary product is "no medical and simplified issue" life insurance sold directly and through a network of insurance advisors. In November 2019, the company opened an office in Montreal, Quebec.
