PEMA

Professional ExitMap Advisor (PEMA)

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

Candidates must:

  • actively work with business owner clients as an accountant, attorney, business appraiser, business broker, business coach, business consultant, commercial banker, financial planner, insurance agent, investment banker or M&A intermediary; and
  • be a current ExitMap Essentials, Enterprise or Enterprise PRO subscriber.
Designation Training Requirements

Online video training
Designation Exam Type
Open-book, online course exams
Continuing Education Requirements

None
Verification and Complaints
Online Designation Resource

Online at https://yourexitmap.com/exit-planning-advisors/ 
Investor Complaint Process

Submit complaints online at https://exitmap.com/pema-cemc-designation/. 
Published List of Disciplined Designees

None

2024080106601 Hovde Group, LLC CRD 25425 AWC vr (2025-1738887600230).pdf

From August 2020 until July 2024, Hovde Group failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to review the securities transactions in its associated persons’ outside brokerage accounts for potential violations of securities laws and FINRA rules. As a result, the firm violated FINRA Rules 3110 and 2010.

2023077021801 International Assets Advisory, LLC CRD 10645 AWC vr (2025-1738801202638).pdf

From May 2021 through July 2023, IAA failed to report approximately 290 transactions in Trade Reporting and Compliance Engine (TRACE)-eligible securities to TRACE. Therefore, IAA violated FINRA Rules 6730 and 2010. From May 2021 through July 2023, IAA failed to report approximately 270 municipal securities transactions to the MSRB's Real-time Transaction Reporting System (RTRS). Furthermore from July 2023 through November 2023, the firm reported approximately 40 canceled transactions to RTRS that should not have been reported.
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