IRMAACP

IRMAA Certified Planner (IRMAACP)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization IRMAA Certified Planner LLC
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Training course available online or in person
Designation Exam Type

Online, proctored, closed book exam
Continuing Education Requirements

Two hours annually
Verification and Complaints
Online Designation Resource

Online at Find a Certified Planner
Investor Complaint Process

Submit complaints online at IRMAACP Code of Conduct
Published List of Disciplined Designees

None

IHIP

International Health Insurance Professional (IHIP)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Inter-American Institute of Insurance
Qualification and Training Requirements
Prerequisites

Three years of industry experience
Designation Training Requirements

Six training courses, online or in person
Designation Exam Type

Proctored, closed book, final course exams
Continuing Education Requirements

10 hours every two years
Verification and Complaints
Online Designation Resource

Online at Professional Designation Check
Investor Complaint Process

Submit complaints online at File a Complaint
Published List of Disciplined Designees

Online at Disciplined Individuals by Country

2023078877501 Elizabeth Ashley Nichols CRD 7321603 AWC lp (2023-1699143606391).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078877501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Elizabeth Ashley Nichols (Respondent) CRD No. 7321603 Pursuant to FINRA Rule 9216, Respondent Elizabeth Ashley Nichols (Nichols) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2023-013

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to revise and restate the qualifications for representatives in arbitrations and mediations.

2022073891501 Stephen Kiyoshi Takeda CRD 1100052 AWC vr (2023-1699143606399).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073891501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Kiyoshi Takeda (Respondent) Former General Securities Representative CRD No. 1100052 Pursuant to FINRA Rule 9216, Respondent Stephen Kiyoshi Takeda submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022077314501 James P. Pelletiere CRD 2628708 AWC gg (2023-1699057205082).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077314501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James P. Pelletiere (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2628708 Pursuant to FINRA Rule 9216, Respondent James P. Pelletiere (Pelletiere) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Omer Meisel

Omer Meisel leads FINRA’s National Cause and Financial Crimes Detections Program (NCFC), which includes the National Cause Program (NCP) and Complex Investigations and Intelligence (CII). Mr. Meisel leads teams that conduct investigations and examinations of firms and gather intelligence to detect financial crimes and inform FINRA and firms of emerging threats and risks to the financial industry.

2023078907901 Vivek Tangudu CRD 7429841 AWC lp (2023-1699057205058).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078907901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vivek Tangudu (Respondent) Former Associated Person CRD No. 7429841 Pursuant to FINRA Rule 9216, Respondent Vivek Tangudu submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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