Contact

Inquiries directed to Financial Planning Authority are reviewed by subject-matter staff familiar with the regulatory landscape governing personal and professional financial planning in the United States, including frameworks administered by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the Certified Financial Planner Board of Standards (CFP Board). This page describes how to structure an inquiry, what response timelines apply, and what channel distinctions exist across different inquiry categories.

What to include in your message

The specificity of an inquiry determines how efficiently it can be routed and addressed. Vague submissions — those lacking a defined subject, professional context, or reference to a specific topic — enter a general queue that extends response time by an average of 3 to 5 business days beyond the standard window.

Effective inquiries include the following components:

1. Subject classification — Identify whether the inquiry concerns a specific financial planning topic (e.g., fiduciary standard, fee structures, CFP credential), a regulatory question, a professional category, or a content correction request.
2. Professional or research context — Indicate whether the submission comes from a licensed financial planner, a researcher, a consumer navigating the financial planning sector, or a member of the press.
3. Specific reference — Where possible, name the page, section heading, statute, regulatory body, or credential standard the inquiry concerns. References to named agencies such as the SEC, FINRA, or the Consumer Financial Protection Bureau (CFPB) help route regulatory questions accurately.
4. Factual correction scope — For content accuracy submissions, identify the specific claim, the page on which it appears, and the named public source that contradicts it. Corrections unsupported by a cited primary source (e.g., a specific SEC rule, FINRA notice, or CFP Board standards document) cannot be processed.
5. Contact information — A valid email address is required for all responses. Phone numbers are optional and used only when clarification requires a brief exchange.

Submissions that include all 5 components above are resolved, on average, as processing allows of receipt during standard operating periods.

Response expectations

Not all inquiry types receive the same depth or type of response. The table below maps inquiry categories to their standard handling:

Financial planning questions that require individualized advice — including specific portfolio recommendations, tax strategy decisions, or legal interpretations of fiduciary duty — are outside the scope of this reference authority. Those matters fall under the regulatory jurisdiction of registered investment advisers (governed by the Investment Advisers Act of 1940) or licensed attorneys, and are appropriately directed to credentialed professionals.

No inquiry should be interpreted as establishing a professional advisory relationship. Financial Planning Authority operates as a reference resource, not a licensed financial planning firm.

Additional contact options

For inquiries that map to publicly documented regulatory or credentialing matters, direct outreach to the relevant named body is often faster and more authoritative than routing through this office:

• CFP Board — Certification standards, CE requirements, and disciplinary records for Certified Financial Planners: cfp.net
• SEC EDGAR / Investor Assistance — Registration status of investment advisers and broker-dealers, Form ADV access: investor.gov
• FINRA BrokerCheck — Licensing history and disciplinary actions for registered representatives: finra.org/brokercheck
• CFPB Consumer Resources — Complaints involving financial products regulated under federal consumer protection statutes (15 U.S.C. § 1601 et seq.): consumerfinance.gov
• IRS Publications — Tax planning frameworks referenced across retirement, estate, and investment planning topics: irs.gov/publications

Inquiries about topics covered in the regulatory context section or the frequently asked questions are often resolved by reviewing those pages directly before submission, as the majority of regulatory framing questions are addressed there in detail.

How to reach this office

All formal inquiries are accepted in written form only. Written submission creates a documented record and allows for accurate routing across subject-matter categories.

Primary contact method: The contact form embedded on this page. Fields map directly to the 5-component structure outlined in the first section of this page.

Email: For submissions that exceed the character limits of the contact form — such as detailed content correction memos or press inquiries with supporting documentation — direct email is accepted. Use the address listed in the site footer, which is maintained and checked on all standard business days (Monday through Friday, excluding federal public holidays).

Response volume and prioritization: During periods of high submission volume — typically coinciding with major regulatory updates, such as IRS annual contribution limit announcements or SEC rulemaking cycles — response windows in all categories may extend by 2 to 3 additional business days. Priority routing is applied to factual correction submissions that include a specific named primary source citation.

Physical mail is not a supported inquiry channel for this office. Submissions sent by post cannot be guaranteed a response.