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ETHICS CE: CFP Board’s Revised Code and Standards/Enhancing Your Ethical Intelligence
Speaker: Charles Garcia, CFP®, PAX Financial
Join our host, Charles Garcia, JD, CFP® for your required 2-hours of CFP Ethics. This course fulfills the 2 hour CFP Board of Standards Ethics requirement. It does not qualify for CPA, CIMA, AIF or other designations.
As part of CFP® certification, all CFP® professionals commit to uphold the high standards outlined in the Code of Ethics and Standards of Conduct. This helps give clients confidence they're partnering with a financial advisor who will put them on the path to a secure future. The CFP Board's Code of Ethics and Standards of Conduct requires CFP® professionals to uphold the principles of integrity, objectivity, competence, fairness and confidentiality. They make a commitment to put their clients' interests first at all times when providing financial advice.
CFP Ethics CE will be submitted to the CFP Board of Standards by FPA San Antonio/South Texas.
Learning objectives:
- Understand the structure and content of the revised Code and Standards, including significant changes from prior rules
- Describe CFP Board's Fiduciary Duty, and identify material conflicts of interest and how to avoid or full disclose, obtain informed consent, and manage them
- Understand the duty to report to CFP Board and the duty to cooperate
- Identify the practice standards when providing financial advice that requires financial planning and understand the duty to provide information to clients when providing financial planning and/or financial advice.
Charles has served as the FPA of San Antonio & South Texas President for the last 3 1/2 years.
With over 20 years of experience in financial services, Charles Garcia is perfectly suited to provide leadership and expertise to PAX Financial’s team of advisors. In his role as VP of Advisory Services, Charles integrates PAX’s strategic objectives into the daily routines of PAX’s team members.
While in college, Charles landed a job pulling microfilm in the basement of a financial company and realized he had a knack for and interest in finances. His professional trajectory took him to the financial teams of Fortune 500 companies, but Charles knew he had a soft spot for small businesses, where every employee plays a vital role in shaping the company’s culture and fostering success.
Charles has worked at PAX Financial since 2019. He appreciates that the company’s values align closely with his own. Because he values finding purpose in his work, the opportunity to help others reach their full potential through his position at PAX is immensely satisfying. In addition to his professional responsibilities at PAX, Charles is also the chapter president of the Financial Planning Associates of San Antonio and South Texas; an Industry Advisory Committee Member at Hallmark University; Advisory Panel Member for the University of Houston’s Bauer College of Business); and a Board of Trustees member, Treasurer, and Head of the Finance Committee at the Geneva School of Boerne. Somehow, he still finds time to run endurance races as well as spend time with his three kids and wife of over 20 years.