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Professional Conduct History Requests

Clients, employers, and others may verify membership and whether or not someone has a public disciplinary history with CFA Institute.

Upon written request, CFA Institute will:

  • Confirm whether or not the individual is current in membership requirements, including payment of dues and submission of the annual Professional Conduct Statement, and has the right to use the CFA designation.
  • Disclose whether CFA Institute has sanctioned the individual for an industry-related matter with a censure; a timed suspension, revocation, or summary suspension of membership, and/or the right to use the designation; or a permanent prohibition from the CFA Program.
  • Provide the published Notice of Disciplinary Action for individuals who have been publicly sanctioned.

CFA Institute will not:

  • Disclose whether an individual is the subject of a current or past Professional Conduct investigation.
  • Disclose whether CFA Institute has issued a Private Reprimand or Cautionary Letter to the individual.

How To Submit Your Request

To submit a professional conduct history request, please include as much of the following information as possible:

  • Individual’s full name
  • CFA Institute member ID
  • Address, employer, birth date, and/or email address
  • CFA Charter number

Request a Professional Conduct history

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