2021070609801 The Oak Ridge Financial Services Group, Inc. CRD 42941 AWC lp (2024-1730074809449).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070609801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: The Oak Ridge Financial Services Group, Inc. (Respondent) Member Firm CRD No. 42941 Pursuant to FINRA Rule 9216, Respondent The Oak Ridge Financial Services Group, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

N(k)S

401(k) Specialist (N(k)S)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization National Association of Plan Advisors
Qualification and Training Requirements
Prerequisites

Candidates must have three years of experience in the retirement field or have completed the Retirement Plan Fundamentals (RPF) Certificate Program course.
Designation Training Requirements

Optional online, interactive self-study course
Designation Exam Type

Online, proctored, closed-book exam
Continuing Education Requirements

10 hours annually
Verification and Complaints
Online Designation Resource

Online at https://www.napa-net.org/education/credential-check/
Investor Complaint Process

Submit complaints via email to [email protected]. Learn more at Complaints and Discipline.
Published List of Disciplined Designees

None
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