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Professional Designations Rules and Resources

Important Disclaimer: FINRA does not approve or endorse any professional credential or designation. Learn More >>


Related Rules and Regulations:

  • Rule of Conduct 2210, which prohibits brokerage firms and brokers registered with FINRA from referencing nonexistent or self-conferred degrees or credentials or referencing legitimate degrees or credentials in a misleading manner.
  • Regulatory Notice 11-52, FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
  • Be aware that Financial Analyst, Financial Advisor, Financial Consultant, Financial Planner, Investment Consultant or Wealth Manager are generic terms or job titles, and might be used by investment professionals who do not hold any specific credential or license.
  • Also be aware that the SEC’s Regulation Best Interest limits the circumstances under which a broker-dealer is allowed to use the term “advisor” (or “adviser”) in the firm’s name or in the titles of its registered representatives. For more information, read Frequently Asked Questions on Regulation Best Interest.
  • Many states have enacted regulations or legislation, or issued special notices, regarding the use of professional credentials by registered investment professionals. Contact your state securities regulator for more information.

Additional Resources: