Broker Check
Lee Kroening, CFP®

Lee Kroening, CFP®

Managing Partner

I have been a Registered Representative since 1988. I graduated from Cornell University.  I have been a CERTIFIED FINANCIAL PLANNER™ practitioner since 1995.  I have voluntarily agreed to meet rigorous education, examination and experience standards required of CFP® certificants. I participate in ongoing professional education. And, I strive to follow a strict code of professional ethics and standards of practice.  The standards I adhere to are promulgated and enforced by Certified Financial Planner Board of Standards Inc. CFP® Board refers to these standards as “the 4Es.”

  • Education.  I completed an education requirement to demonstrate to CFP® Board that I have the theoretical and practical financial planning knowledge to practice personal financial planning. In addition, every two years, I complete a minimum of 30 hours of continuing education to stay current with developments in the field.
  • Examination. I passed a 10 hour exam administered by CFP® Board to test my understanding of the financial planning process, tax planning, employee benefits, retirement planning, estate planning, investment management and insurance.
  • Experience. Before earning the CFP® certification, I fulfilled a minimum of three years’ experience in the financial planning process.
  • Ethics. I agree to abide by CFP® Board’s “Code of Ethics and Professional Responsibility.” The “Code of Ethics” requires CFP® certificants to act fairly and diligently, with integrity and objectivity, when providing financial planning services to clients. I also have agreed to submit to background checks by CFP® Board and have agreed to disclose any investigation or legal proceedings related to my professional or business conduct.