NACFF was created to provide all the information, tools, and resources needed for financial professionals to ensure they are compliant with the new fiduciary rule.
Contact Info
Phone704-930-0032
NACFF was created to provide all the information, tools, and resources needed for financial professionals to ensure they are compliant with the new fiduciary rule.
The National Association of Certified Financial Fiduciaries® (NACFF) is committed to maintaining the integrity, credibility, and professional standards of the Certified Financial Fiduciary® (CF2) certification.
Individuals who hold the CF2 certification are required to comply with the NACFF Code of Conduct and applicable certification requirements. If you believe a CF2 certificant has acted in an unethical or unprofessional manner, violated the NACFF Code of Conduct, misused the certification, or otherwise failed to meet applicable certification requirements, you may submit a formal complaint to NACFF.
NACFF takes complaints seriously. Complaints are handled through a documented process intended to ensure concerns are considered fairly, impartially, consistently, and in a timely manner.
A complaint may be submitted by an individual, client, consumer, organization, regulatory agency, or other interested party with information concerning the certification-related conduct of an active CF2 certificant.
NACFF will acknowledge receipt of the complaint and conduct an initial review to determine whether the matter falls within the scope of NACFF's certification activities and whether sufficient information is available to proceed. When appropriate, NACFF may request additional information and conduct an investigation or convene an impartial Complaint Review Committee.
The CF2 certificant who is the subject of the complaint will ordinarily be given notice of the substance of the allegations and a reasonable opportunity to respond. NACFF maintains conflict-of-interest safeguards for individuals involved in reviewing and deciding complaints.
NACFF will communicate the conclusion of the complaint process to the complainant and, whenever possible and permitted by confidentiality requirements, provide information regarding the outcome.
Filing a complaint does not establish that a CF2 certificant violated NACFF standards. NACFF evaluates the available information before determining whether action is warranted.
Depending on the facts and applicable certification requirements, an outcome may include no action, corrective action, a written warning or censure, conditions on continued certification, suspension, or revocation/withdrawal of the Certified Financial Fiduciary® (CF2) certification.
Email: report@nationalcffassociation.org
Mail: National Association of Certified Financial Fiduciaries®, 1619 Providence Rd S STE 220-203, Marvin, NC 28173
NACFF's authority in this process concerns the CF2 certification and compliance with NACFF certification requirements. NACFF does not replace governmental regulators, licensing authorities, law-enforcement agencies, courts, arbitration forums, employers, or other bodies that may have jurisdiction over a financial professional or a particular dispute.
Public confidence in the CF2 certification depends on meaningful standards and a credible process for addressing concerns. NACFF is committed to administering complaints impartially, documenting decisions and resulting actions, protecting confidential information as appropriate, and addressing identified certification-program issues when corrective action is warranted.
Looking to appeal a certification decision? See our Advisor Appeals Process.
