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What it Means

Adherence to a Standard
CEFEX-certified firms adhere to a standard representing the best practices in their industry. The standards include specific criteria which have been substantiated by regulation or written in consultation with leading firms.

A successfully completed standards-based assessment results in certification. This is written assurance that the firm meets the requirements of the standard.

Verified by Annual Audits
CEFEX certified firms voluntarily undertake annual audits by independent expert analysts. This continually verifies their adherence to the applicable standard and is supplemental to oversight performed by regulators, or financial auditors.

Why it Matters

A CEFEX-certified firm places its clients’ interests first. Through structured processes, the firm will realize cost savings through improved quality, enhanced client satisfaction and increased market share. From a financial perspective, end clients will realize investment objectives sooner and achieve a better alignment of investment services to expenses.

CEFEX certification increases TRUST. In a time of financial industry change, trust is critical to firms which provide fiduciary functions and those that provide support services. Investors and Stewards of retirement plans, endowments and foundations are continually looking for proof of integrity.

Annual audits maximize professionalism within the firm because management is required to keep up-to-date with best practices.

The CEFEX audit fosters a culture of continuous improvement within the firm and increases transparency and accountability of the management team.

What Does it Mean For an Advisor to be CEFEX

The Road to Fiduciary Security Begins with a CEFEX Certified Advisory Firm

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Daniel Romero has attained Investment Advisor Representative CEFEX Certification for RIA services within the LPL Financial Retirement Plan Consulting Program. CEFEX and LPL Financial are separate entities.




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