Compliance-aware by design. Advisor-controlled in practice.

What TFA is — and what it is not

How the platform supports compliance-conscious advisors

• Structured disclosures: Profile fields for licensing, credentials, CRD/IARD references, disciplinary disclosure links, and fee model descriptions.
• Editable, timestamped profile history: Profile edits are captured so you and your firm can review what was published and when.
• Clear content labels: Educational content, general commentary, and optional market-view signals are labeled as such and are not personalized investment advice.
• Testimonial and review controls: Where reviews are permitted, the platform provides required-context fields and moderation tooling. You can decline or flag content per your firm’s policy.
• Role-based access: Accounts, roles, and permissions are scoped so staff and compliance delegates can review before publication where supported.
• Export on request: Reasonable export options for profile content you publish, to support firm books-and-records retention.
• Privacy and security: Standard safeguards (TLS in transit, access controls, logging). See our Privacy Policy.

What you remain responsible for

• Licensing and registration for each jurisdiction where you solicit or service clients.
• Supervisory review of any content you publish (per FINRA rules such as 2210 if applicable, or your firm’s written supervisory procedures).
• Advertising, testimonials, and third-party ratings compliance under the SEC Marketing Rule (for RIAs) and/or FINRA communications rules (for broker-dealers), including required disclosures and pre-use approvals where required.
• Books and records retention for communications you publish or receive through the platform, in your own systems as required by rule.
• Conflicts of interest, cash compensation, and referral arrangements that apply to your business model — including any solicitor, promoter, or lead-generation rules relevant to your activities.
• Professional standards applicable to your designations (e.g., CFP Board Code and Standards for CFP® professionals; CFA Institute Code and Standards for CFA charterholders).
• Client suitability and fiduciary duties under the rules that apply to the services you offer (Regulation Best Interest, the Investment Advisers Act, state law, or equivalent).
• Cybersecurity and privacy obligations for your firm, including Reg S-P / Reg S-ID where applicable, plus state privacy laws.

For CFP® professionals specifically

TFA is not affiliated with or endorsed by the CFP Board. Listing on TFA does not substitute for, replace, or modify any requirement under the CFP Board Code of Ethics and Standards of Conduct. CFP® professionals remain responsible for disclosures, fiduciary duty when providing financial advice, and fitness standards. For official rules, consult the CFP Board Code and Standards.

For FINRA-registered representatives

TFA is not a FINRA member firm and does not supervise communications. If you are associated with a broker-dealer, your member firm’s supervision and FINRA Rule 2210 (Communications with the Public) apply to content you publish about your services, including directory profiles, testimonials, and third-party ratings. Submit profile content for firm approval where your WSPs require it. See FINRA’s communications resources and BrokerCheck for investor-facing disclosures you can reference on your profile.

For SEC- or state-registered investment advisers

Content on your TFA profile may constitute advertising under the SEC Marketing Rule (Rule 206(4)-1). You are responsible for substantiation, disclosures, testimonial/endorsement requirements, and any recordkeeping obligations under Rule 204-2. Maintain copies of published content and supporting records in your own compliance systems. State-registered advisers should also confirm applicable state requirements via SEC IAPD and your state regulator.

How we handle profile and client-facing content

• Advisor-controlled publishing: you submit, edit, and can remove your profile content.
• Display of regulatory identifiers where you provide them (for example, CRD number and links to official regulator records) so investors can verify independently.
• Neutral labeling for educational tools — past performance, market commentary, and predictions are not guarantees of future results.
• No claims of government endorsement, exclusive approval, or guaranteed client outcomes anywhere on your TFA profile.

Reporting a concern

If you see content on the platform that you believe is misleading, violates applicable rules, or should be reviewed, contact support@trustedfinancialadvisor.org. We respond to takedown and correction requests from advisors, firms, and regulators in accordance with our terms and applicable law.

Official regulatory resources