CFP Board Commission on Standards Commission Members

Transcription

1 CFP Board Commission on Standards Commission Members V. Raymond Ferrara, CFP Commission Chair Ray is Chair and CEO of ProVise Management Group, LLC, a financial planning firm located in Clearwater, Florida, which is a Registered Investment Advisor with the Securities and Exchange Commission. ProVise is one of the largest financial planning firms in the country, and manages approximately $1.2 billion of client assets as of June 30, Ray is also a Registered Representative and Registered Principal with FINRA. In addition to serving as 2014 Chair for Certified Financial Planner Board of Standards, Inc. (CFP Board), he was Chair of the Appeals Committee while on the Board and has served on the Disciplinary and Ethics Commission. He is a former member of the Board of Directors for Financial Planning Association and National Advisors Trust Company, and a Board observer for National Financial Partners, Inc. Ray has spoken to many public and civic organizations and business conferences throughout the United States. He has been quoted in numerous publications, including USA Today, New York Times, The Wall Street Journal, Barron s, Tampa Bay Times, and Business Week. He has appeared on radio and television across the country, speaking in his easily understood language with his relaxed, informal approach. For over ten years, he hosted radio s "Talking Money." He has authored several articles on various financial topics. He was featured as one of America s best financial planners in the Secrets of the Wealth Makers, and was a recipient of the Lifetime Achievement Award from the Financial Planning Association of Tampa Bay. 1

2 Commission Members Chris Beard, CFP Chris is Vice President at Gateway Wealth Strategies, an independent firm of Raymond James. Based in Greenville, South Carolina, his primary work is financial planning, qualified retirement plans for employers, and asset management. In 2012, Chris served as Chair of CFP Board s Disciplinary and Ethics Commission. He holds a B.S. in finance from Clemson University. Allison Bishop Allison is Director, Global Client Strategy at Bank of America Merrill Lynch in New York. Allison was also Vice President and Chief Compliance Officer at NYSE Euronext. She currently serves on CFP Board s Public Policy Council and previously served on CFP Board s Business Model Council. She holds a J.D. from Hofstra University School of Law, and a B.S. in criminal justice from Northeastern University. David Foegal, CFP Dave is Senior Manager, Wealth and Estate Planning, at Vanguard in Arizona. For 11 years he has held successive positions of responsibility. Dave is a current member of CFP Board s Business Model Council. He holds an M.B.A. in leadership and a B.S. in marketing from Arizona State University s W.P. Carey School of Business. 2

3 Diahann Lassus, CFP, CPA Diahann is President and Co-Founder of Lassus Wherley, a wealth management firm with offices in New Providence, New Jersey and Bonita Springs, Florida. Prior to co-founding Lassus Wherley in 1985, Diahann worked for several AT&T organizations, at one point overseeing annual sales of $140 million and managing 60 employees. She is a past National Board Chair of the National Association of Personal Financial Advisors, and previously served on CFP Board s Board of Directors. She holds an M.B.A. from the University of North Florida, and a B.S. in management from Florida State University. Linda Leitz, CFP Linda is Co-Owner of It s Not Just Money, a financial planning firm in Colorado Springs, Colorado. She has worked in the financial industry for over 25 years, and is also enrolled to practice before the Internal Revenue Service. She served as Chair of the National Association of Personal Financial Advisors (NAPFA). Linda holds a B.B.A. from Principia College, an M.B.A. from Southern Methodist University, and is in the Ph.D. program in Personal Financial Planning at Kansas State University. Terry Lister, JD Terry is a Senior Consultant with Edgerton & Weaver. Based in Kansas City, Missouri, he is a recognized expert on the regulation of independent broker dealers and investment advisors. He previously served as Senior Vice President and Chief Regulatory Officer of Waddell & Reed, Inc. in Kansas City. He also has served as General Counsel for the Financial Services Institute. Previously, he served on CFP Board s Board of Directors from 2008 to 2011 and served three terms on CFP Board s Public Policy Council. Terry holds a J.D. from the University of Missouri Kansas City School of Law and a B.S. in Public Administration from the University of Missouri. 3

4 Matt Murphy, CFP Matt is the founder and Principal of Murphy Capital Advisors in Goodyear, Arizona. Matt is the immediate past Chair of CFP Board's Disciplinary and Ethics Commission. Matt has over 20 years of experience in the financial services industry and also is a past Board Member of the Phoenix Chapter of the Financial Planning Association and is active within the National Association of Personal Financial Advisors. Matt holds a B.S. in finance from Illinois State University. Robert Plaze Bob is a Partner at Stroock & Stroock & Lavan LLP in Washington, D.C., where he counsels investment advisers and investment companies on regulatory and compliance matters arising under the federal securities laws. Before joining Stroock, he served as Deputy Director of the Division of Investment Management of the U.S. Securities and Exchange Commission. Bob holds both a J.D. and A.B. from Georgetown University. Christopher Rand, CFP Chris is a Partner and Personal CFO at Fides Wealth Strategies Group in San Diego, California. Chris has 20 years of experience in the financial services industry and has held various leadership positions in the financial planning profession, including service on National FPA s Board of Directors. Chris holds a B.S. in business finance from San Diego State University and an M.S.F.S. from the American College. 4

5 Peter Richardson, CFP Peter is Assistant General Counsel, Investment Products and Advisory Services Team, at Northwestern Mutual in Milwaukee, Wisconsin, where he advises the firm on legal, regulatory and business issues related to investment advisers, broker-dealers and financial planning. Peter currently serves on CFP Board s Business Model Council. He holds a J.D. from University of Minnesota Law School and a B.A. in political science and speech communications from Macalester College. Barbara Roper Barbara is Director of Investor Protection at the Consumer Federation of America in Washington, DC. A leading consumer spokesperson on investor protection issues, Roper has conducted studies of abuses in the financial planning industry, state oversight of investment advisers, and state and federal financial planning regulation, among other issues. Barbara currently serves on CFP Board s Public Policy Council. She holds a degree in art history from Princeton University. Jeffery Sills, CFP Jeff is Senior Vice President, Head of Advice and Planning at Capital One Investments. For the past 27 years he has been in local, regional, divisional and national leadership for Shearson, Smith Barney, USAA and Capital One Investing, including branch manager roles in Connecticut, Florida, and Texas. Currently based in Wilmington, Delaware, he served as a member of CFP Board s Business Model Council from