CPM
Certified Portfolio Manager (CPM)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Academy of Certified Portfolio Managers |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must have:
|
| Designation Training Requirements | Complete an online, self-study program, followed by onsite learning at a university partner campus |
| Designation Exam Type | Online, proctored course exams |
| Continuing Education Requirements | 20 hours annually |
| Verification and Complaints | |
| Online Designation Resource | Online at Member Directory Search |
| Investor Complaint Process | None |
| Published List of Disciplined Designees | None |
CMSA
Capital Markets & Securities Analyst (CMSA)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Corporate Finance Institute |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | Online, self-paced training courses |
| Designation Exam Type | Online, open-book course assessments and timed final exam |
| Continuing Education Requirements | None |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | None |
| Published List of Disciplined Designees | None |
2020068495402 NatAlliance Securities, LLC CRD 39455 and Jason Adams CRD 2690575 AWC va (2023-1682554808013).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068495402
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: NatAlliance Securities, LLC (Respondent)
Member Firm
CRD No. 39455
Jason Adams (Respondent)
General Securities Principal and General Securities Representative
CRD No. 2690575
Pursuant to FINRA Rule 9216, Respondents NatAlliance Securities, LLC and Jason Adams submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.