Five Star Award Selection

Award selection for nominated wealth managers are based on satisfying the following criteria:

  • Credentialed as an investment advisory representative, a FINRA-registered representative, a CPA or a licensed attorney.
  • Actively employed as a credentialed professional in the financial services industry for a minimum of five years.
  • Favorable regulatory and complaint history review
  • Fulfilled their firm review based on internal firm standards, and accepting new clients.
  • Other criteria considered are one and five year client retention rate, non-institutional discretionary and/or non-discretionary client assets administered, number of client households served and education and professional designations.