The CFP Board regulates Certified Financial Planners (r) professionals like myself.  They provide the Code of Ethics, which we are required to follow.  The latest version says:

1.  Act with honesty, integrity, competence, and diligence.
2.  Act in the client’s best interest.
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 the CFP (r) certification.

So, how’s your stockbroker??