CERTIFICATIONS & LICENSES
AIF ® - Accredited Investment Fiduciary ®
Investment Fiduciaries are constantly exposed to legal and practical scrutiny. This can arise for various reasons and from multiple facets the role of advisor. We live in litigious times and without proper procedures and processes in place when in a position of trust, of which a fiduciary is in, we can put ourselves at risk. Although some allegations may be justified, many can be avoided by having a clear knowledge of who constitutes a fiduciary and what is required of one.
The AIF® training and designation offered through fi360 helps mitigate this liability by instructing in practices that cover pertinent legislation and best practices. The Accredited Investment Fiduciary® (AIF®) designation represents a thorough knowledge of and ability to apply the fiduciary Practices. Through fi360's AIF® Training programs, AIF® designees learn the Practices and the legal and best practice framework they are built upon. AIF® designees have a reputation in the industry for the ability to implement a prudent process into their own investment practices as well as being able to assist others in implementing proper policies and procedures.
AIF ® designees are required to complete six hours of continuing education annually and to attest to the code of ethics: fi360 AIF® Code of Ethics. I recognize that this Code of Ethics, and its principles and obligations, are in addition to those set forth by any other Code that governs my professional and ethical conduct.
To my clients, I will:
- Employ and provide the client information on the Prudent Practices when serving as an investment fiduciary and/or advising other investment fiduciaries.
- Act with honesty and integrity and avoid conflicts of interest, real or perceived.
- Ensure the timely and understandable disclosure of relevant information that is accurate, complete, and objective.
- Be responsible when determining the value of my services and my form of compensation; taking into consideration the time, skill, experience, and special circumstances involved in providing my services.
- Know the limits of my expertise and refer my clients to colleagues and/or other professionals in connection with issues beyond my knowledge and skills.
- Respect the confidentiality of information acquired in the course of my work, and not disclose such information to others, except when authorized or otherwise legally obligated to do so. I will not use confidential information acquired in the course of my work for my personal advantage.
- Not exploit any relationship or responsibility that has been entrusted to me.
To my community (whether defined by work, family, and/or friends), I will:
- Proactively promote and be a steward of ethical behavior as a responsible partner among my peers in the work environment and in my community.
- Ensure that the overall promotion of my practice is implemented in the best interests of my profession.
- Seek, accept, and offer honest criticism of technical work; acknowledge and correct errors; and properly credit the contributions of others.
- Use corporate assets and resources employed or entrusted to me in a responsible manner.
- Continue to improve my knowledge and skills, share ideas and information with colleagues, and assist them in their professional development.
CEP® Certified Estate Planner™
Certified Estate Planners™ are proud to lead the way in the education and support of financial, legal and tax professionals who desire to take their practice into the comprehensive and demanding field of Estate Planning. You should only work with trusted and experienced professionals to include a financial advisor and an attorney with broad general practice and knowledge of estate planning. Maintain an ongoing relationship with a planner that you trust, someone that will ensure that your plans are fully funded and kept up to date. Clients are urged to check the credentials of individuals that they are working with and the Certified Estate Planner ™ or Master Certified Estate Planner ™ is a legal, financial or tax profession who has earned a distinctive educational certification through the National Institute of Certified Estate Planners (NICEP).
Graduates of the National Institute of Certified Estate Planners shall adhere to the NICEP Code of Ethics and agree to:
- properly represent themselves with utmost integrity, making every effort to set the highest level of service and competence in the estate planning profession.
- provide quality of service that is beneficial to, and in the best interest of, their clients.
- participate in ongoing continuing education programs which shall serve to promote their individual proficiency and their credentials.
- maintain proper compliance with any State or Federal authorities and regulations as well as the professional companies and organizations that they represent, and shall notify the NICEP, in writing, regarding any regulatory non compliance findings by these entities in a timely manner.
- submit to the findings and rulings of the NICEP with regard to the continued use of its trademarked professional certification marks.
- conduct their business in a trustworthy and honest manner that shall enhance the reputation of the NICEP, its certifications, and associates.
Executive Certificate in Financial Planning
- Di Vincenzo completed six courses and earned this certification in partnership with the Strome College of Business at Old Dominion University and the Certified Financial Planner Board of Standards, Inc. Di Vincenzo is a CFP ® candidate.
Additional REGISTRATIONS and LICENSES Jayne W. Di Vincenzo has earned and holds through Kestra Advisory Services, LLC and Kestra Investment Services, LLC include:
Series 7 General Securities License
Series 24 Securities Principal
Series 31 Managed Futures
Series 53 Municipal Securities Principal
Series 63 Uniform Securities Agent
Series 65 Uniform Investment Adviser Law Examination
Life, Health and Annuities Insurance License
Verify information about your advisors at www.Brokercheck.org.