CODE OF ETHICS

Nicholas adheres to the CFP Board's Code of Ethics and Standards of Conduct for CFP Professionals. The CFP Board's Code of Ethics is included below. For a full description of the CFP Board's Code of Ethics and Standards of Conduct, visit the CFP Board's website at: https://www.cfp.net/ethics/code-of-ethics-and-standards-of-conduct (alternate link: https://www.cfp.net/)

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Highlights from The CFP Board's Code of Ethics:

"CFP Board’s Code of Ethics and Standards of Conduct reflects the commitment that all CFP® professionals make to high standards of competency and ethics. CFP Board’s Code and Standards benefits and protects the public, provides standards for delivering financial planning, and advances financial planning as a distinct and valuable profession. Compliance with the Code and Standards is a requirement of CFP® certification that is critical to the integrity of the CFP® marks. Violations of the Code and Standards may subject a CFP® professional to discipline.

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CODE OF ETHICS

A CFP® professional must:

1. Act with honesty, integrity, competence, and diligence.

2. Act in the client’s best interests.

3. Exercise due care.

4. Avoid or disclose and manage conflicts of interest.

5. Maintain the confidentiality and protect the privacy of client information.

6. Act in a manner that reflects positively on the financial planning profession and CFP® certification."