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SBWA

Small Business Wealth Advisor (SBWA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Dalton Education, a CeriFi company
Qualification and Training Requirements
Prerequisites

Candidates must be active financial services practitioners in advice, planning, investment management, insurance, accounting or related discipline and have at least one year of financial services experience in the past seven years.

Designation Training Requirements

Online, self-study materials 

Designation Exam Type

Online, open-book exam for each training module

Continuing Education Requirements

None

Verification and Complaints
Online Designation Resource

None

Investor Complaint Process

Submit complaints via online support form

Published List of Disciplined Designees

None

2025085052801 Truist Investment Services Inc. AWC lp.pdf

From at least March 2023 to July 2023, a TIS registered representative (Representative A) engaged in improper cancel and rebill activity when he canceled trades he placed in his personal TIS brokerage account and later rebilled them to certain of his customers’ brokerage accounts, without the customers’ knowledge or authorization, causing those customers to incur significant losses. TIS failed to reasonably identify and investigate red flags of Representative A’s improper cancel and rebill activity.