01.Core Concepts

• The following will always bar an individual from becoming certified: • Felony conviction of theft, embezzlement, or other financially based crimes • Felony conviction of tax fraud or other tax-related crimes • Revocation of a financial professional license (e.g., registered securities representative, broker-dealer, insurance, accountant, investment adviser, and financial planner), unless the revocation is administrative in nature (i.e., the result of the individual determining not to renew the license by not paying the required fees) • Felony conviction of any degree of murder or rape • Felony conviction of any violent crime within the last five years