Choosing Your Courses

  • How do I enroll in a course at Adviser CE?

    Enrolling in a course is simple. Just visit our Course Catalog, select the course you wish to enroll in, and follow the prompts to register and make your payment securely.

  • Do the courses at Adviser CE provide Continuing Education (CE) credits?

    Yes, most of our courses at Adviser CE offer Continuing Education (CE) credits. To see which specific credits are offered by each course, please check the course description or the description of the course bundle. This will provide you with all the necessary details regarding the CE credits available.

  • How do I know which bundle I need — Ethics or Products & Practice?

    Each IAR must complete 6 credits of Ethics & Professional Responsibility and 6 credits of Products & Practices each year, and the two halves are tracked separately. Before you buy, log in to your FinPro account and check which of the two categories you still owe credits in, then purchase that bundle. If you owe credits in both, the 12-credit bundle covers the full annual requirement. Buying the wrong category is the most common reason customers contact us for a refund, and a minute in FinPro first avoids it.

    To learn more, see Choosing the Right CE Bundle: Ethics vs. Products & Practice in our Help Center.

  • Are you also registered with a broker-dealer as Registered Representative?

    If so, check before buying a Products & Practices bundle. Under the NASAA rules, completed FINRA Regulatory Element CE — or FINRA's Maintaining Qualifications Program (MQP), which includes it — may be applied toward the 6-credit Products & Practices component. If that covers you, you may owe only the Ethics & Professional Responsibility half, and a 12-credit bundle would mean paying for a half you did not need. The Ethics half cannot be satisfied this way. For how the Regulatory Element carve-out works, see Understanding FINRA Regulatory Element and NASAA CE Reporting Requirements in our Help Center. 

    To learn more, see Choosing the Right CE Bundle: Ethics vs. Products & Practice in our Help Center.

  • What is the difference between a bundle and an individual course?

    A bundle is a package of several courses sold together, covering a full 6 or 12 credits. An individual course is a single course worth 1, 2, or 3 credits on its own. Buying an individual course when you needed a bundle is a common mistake and leaves you well short of the annual requirement — and because credits are reported per course, the shortfall may not be obvious until you check FinPro. As a rule: if you owe a full 6 or 12 credits, buy the bundle; buy individual courses only to close a gap smaller than 6 credits. If you bought an individual course and then also bought a bundle containing it on the same account, the overlap is refundable as a duplicate purchase.

  • Can you show me how the 12 credits should break down?

    Here are the most common situations and what each one needs.

    If it is a new compliance year and you have completed nothing yet, you need the full 12-credit bundle, which covers 6 credits of Ethics & Professional Responsibility and 6 of Products & Practices.

    If FinPro shows your Products & Practices complete but Ethics at zero, you need the Ethics & Professional Responsibility 6-credit bundle. If it is the other way round — your firm provided ethics training and Products & Practices is outstanding — you need the Products and Practice 6-credit bundle.

    If you are only closing a small gap, buy individual courses instead of a bundle. With 5 of your 6 Ethics credits done and 1 remaining, take a single 1-credit Ethics course. With 4 of 6 Products & Practices done and 2 remaining, take one 2-credit Products & Practices course, or two 1-credit ones.

    When topping up a partial gap, check the category shown on the course page, not just the credit count — a 1-credit Products & Practices course does nothing for an Ethics shortfall. Our individual courses are offered in 1-, 2-, and 3-credit sizes for exactly this purpose.

  • I took your bundle last year. Do this year's courses overlap with it?

    No. Each yearly edition contains entirely different courses — there is no overlap between the 2024, 2025, and 2026 bundles. If you completed a bundle with us in a previous year, every course in this year's bundle will count toward your requirement. The year in a course title identifies the edition; it does not restrict when you may complete the course. If you have taken individual courses with us before, review your dashboard before purchasing, since that is where a repeat is possible.

  • How can I ensure that the course(s) I enrolled in previously from Adviser CE differentiate from the current year?

    Each Adviser CE course is labeled by an edition to indicate the year it was published. Courses may be completed at any time for credit, provided they have not been completed previously. The edition label reflects the publication year only and does not limit when you may enroll or complete the course. For how editions work across years, see Understanding Adviser CE Course Editions and Yearly Differences in our Help Center.

  • Can I enroll in the exact same course more than once?

    Per NASAA regulations, a course counts toward the IAR CE requirement only once. Duplicate completions will not count toward IAR CE - even if completed in a subsequent year - because each course must have a unique course identification number in order for an IAR to receive credit. Enrolling in a course you have already completed will therefore not earn you additional IAR CE credit, and we recommend reviewing your dashboard before purchasing so you don't buy a course you've already taken. If you have already purchased a duplicate by mistake, contact support with both order numbers — duplicate purchases of the same course are refundable, including after completion, when both purchases are on the same account. A common version of this is buying a course on its own and then also buying a bundle that contains it. If the duplicate is on a second account, contact us before completing it: once the same course has been completed on two accounts, both completions are reported to FINRA and neither purchase can be refunded.

    Note that buying a course a second time is also not the way to get more assessment attempts. We neither require nor permit a duplicate purchase for that purpose — see "What happens if I don't pass within three attempts?" in the Assessments and Course Completion section below.

Payments, Invoices and Refunds

  • What types of payment do you accept?

    You can pay by credit or debit card, or with Amazon Pay, Apple Pay, Cash App Pay, Google Pay, or Link. Link is a saved-payment service that lets you store your details for faster checkout on future purchases. We do not accept PayPal. All payments are processed securely by Stripe — Adviser CE never receives or stores your card details. For the full list and what we cannot accept, see Payment Methods We Accept in our Help Center.

  • Is there a refund or cancellation policy?

    Refunds may be requested for accidental or duplicate purchases. Our refund policy allows refunds within 7 days of purchase provided less than 10% of the course has been completed. Completed courses are not refundable, with one exception: if you purchased the same course twice on the same account — for example, buying a course on its own and then also buying a bundle that contains it — the duplicate is refundable on request, including after completion. If the same course was bought under two different accounts, it is refundable only while one of them is still incomplete; once it has been completed on both, each completion is reported to FINRA and carries a reporting fee we cannot recover, so neither is refundable. To request your refund, email support with your order numbers (i.e. ORD0009142), reasons for the refund request, and date of purchase. For the full policy, please visit our Help Center: https://support.adviserce.com/en/articles/16291932-refunds-cancellations-and-purchasing-the-wrong-course

  • How can I download or view my invoices?

    Log in to your Adviser CE dashboard, then hover over your name in the top-right corner and select My Account from the dropdown menu. From there, select the Billing and Order History tabs on the left-hand menu, where you can view and download your invoices.

  • I've already paid — can I get an invoice showing my firm's name for expense reimbursement?

    Yes. Invoices for purchases you have already made are available from your dashboard under My Account → Billing and Order History, and reflect the details entered at checkout. If you need one reissued to show your firm's name or specific billing details, contact Adviser CE Support with your order number and the details required.

    This is for a purchase you have already paid for. If you want your firm to be invoiced for a team order instead of paying up front, see "Can my firm be invoiced for a team order?" in the Group Orders and Seat Managers section below.

  • I was sent a coupon code but I lost it. Can you resend it?

    Coupon codes are issued for specific promotions and cannot be reissued once the promotion has ended, but you may not need one: volume discounts now apply automatically to every course and bundle based on the number of seats in your order, with no code to enter. If you are buying two or more seats, compare the automatic discount against any coupon you were previously offered — you receive whichever is applied, not both. If you believe you are still within an active promotion, contact support with the email address the code was sent to.

  • How do you ensure the confidentiality of my personal information?

    We take your privacy seriously and comply with all relevant data protection regulations. Information regarding our privacy practices can be found in our Privacy Policy on the website. Payments are processed securely by Stripe — Adviser CE never receives or stores your card details. We do not sell or share your personal information. Your data is kept private and protected using industry-standard security measures.

Taking Your Course

  • What is the format of the courses offered at Adviser CE? Can I pause and resume any course as needed?

    All courses at Adviser CE are offered in a text-based, self-paced format. This allows you to start, pause, and resume any course at your convenience without being tied to a specific schedule. You can easily integrate these courses into your daily routine, progressing at a pace that works best for you. There are no scheduled webinars, providing you the flexibility to complete the courses according to your own time availability.

  • Can I pause and resume a course later with my course progress being saved?

    Yes! After enrolling in a course, you will be directed to log into your Adviser CE user dashboard, where all your enrolled courses are accessible. From your dashboard, you can start, pause, and resume your courses at any time, on any device.

  • How are courses delivered at Adviser CE?

    All our courses are delivered online and can be accessed from anywhere at any time. You can complete your course at your own pace within the access period.

  • Can I access my courses from any device?

    Yes, our courses are designed to be fully responsive and can be accessed from any computer, tablet, or mobile device with internet connectivity. Additionally, you can start the course on one device and continue it on another device later, allowing you the flexibility to switch between devices as needed without losing your progress.

  • How can I access and complete my enrolled courses in my Adviser CE dashboard?

    Log in to your Adviser CE dashboard, where you'll see all courses you are currently enrolled in along with their associated credit amounts. Click on any course to begin or continue where you left off—your progress is saved automatically, and you can pause and resume at any time from any device. Once you complete a course, Adviser CE will report your completion to FINRA within 3–5 business days. To confirm your credits, log in to your FinPro account and review your CE history.

  • Do I have to complete the lessons in order?

    We recommend working through the course in the order presented, because the final assessment is comprehensive and draws on every module. More practically, a course is not complete until every lesson is complete, so skipping ahead to the final assessment leaves lessons unfinished behind you — and the course will not be reported to FINRA until you go back and finish them. The Course Survey, which sits just before the Final Assessment, is the one most often missed this way.

  • What is the difference between the module quizzes and the final assessment?

    The quizzes at the end of each module are practice only. They do not count toward your score, there is no limit on attempts, and they do not affect your completion. Their purpose is to check your understanding as you go. The final assessment is the graded exam: you need 70% to pass, you have three attempts, and it is what determines whether you complete the course and earn credit. Both must still be marked complete for the course to finish.

  • Can I get the course material in print or as a PDF?

    No. Adviser CE courses are online, web-based courses only — we do not provide printed materials, downloadable PDFs, or workbook versions of any course. Your course remains available in your dashboard for 365 days from enrollment, and you can revisit any module during that period as often as you like, on any device.

  • A lesson won't load, or I can't advance to the next section. What should I do?

    Start by refreshing the page, then try signing out and back in — this resolves most cases, and your progress is saved as you go, so you will not lose your place. If the problem persists, clear your browser cache and cookies or open the site in a private/incognito window, and try a different browser. If you are repeatedly sent back to the sign-in page while moving between lessons, that is usually a stale session and signing out and in fully will clear it. 

    For step-by-step help, please visit our Help Center: Troubleshooting Pages and Lessons That Won't Load or Advance 

Assessments and Course Completion

  • Is the final assessment timed? How many questions does it have?

    There is no time limit on the final assessment. 

    You can take as long as you need, and the course material itself is not timed either.

    The number of questions is set by NASAA requirements and scales with the course's credit value, at 10 questions per credit: a 1-credit course has 10 questions, a 2-credit course has 20, and a 3-credit course has 30.

    The assessment is multiple choice and comprehensive, covering every module in the course. You need a score of 70% or higher to pass, and you have up to three attempts — both of these are NASAA requirements, not our own policy.

    Questions are drawn from a larger bank, and NASAA requires that alternate questions be used on subsequent attempts, so a retry will not present you with the identical paper. Re-reading the material is therefore more useful than trying to recall specific questions. Because the questions draw on all modules and not only on the examples shown in the text, review every module before you begin.

  • What happens if I don't pass within three attempts?

    You do not lose the course, and you do not buy it again — we neither require nor permit a duplicate purchase, and a second purchase of the same course would earn no additional CE credit in any case.

    What NASAA requires is that you review the course content before any further attempt. So:

    1. Review the course material again from your dashboard. Your enrollment is unaffected and everything remains available to you.
    2. Contact Adviser CE Support at [email protected] once you have finished, and request additional assessment attempts — confirming that you have completed the review as NASAA requires.
    3. We enable further attempts on your existing enrollment, and you continue from there.

    If you have been told you need to purchase the course again in order to retry, that is incorrect — please contact support.

  • How do I know if I've successfully completed a course?

    A course is complete only when every lesson in it is marked complete — not when you pass the final assessment. Once the last lesson is done, your dashboard updates, your certificate becomes available under My Account → Certificates, you receive a completion notification by email, and we report the completion to FINRA within 3–5 business days.

    If you passed the assessment but received no confirmation, a lesson is still outstanding — most often the Course Survey, which sits just before the Final Assessment. See "I passed the final assessment, but my course still shows as incomplete" below.

  • I passed the final assessment, but my course still shows as incomplete and I never got a confirmation. Why?

    A course is marked complete — and reported to FINRA — only when every lesson in it has been completed, not just the final assessment. If any lesson was skipped, the course stays in progress, no certificate is issued, and nothing is reported.

    The most common culprit is the Course Survey. It sits in the Conclusion chapter, immediately before the Final Assessment chapter, so it is easy to skip past on the way to the exam. Passing the exam does not backfill it.

    To fix this, log back in, reopen the course, and look through the curriculum for any lesson not marked complete — the survey first, then any module lesson or quiz you may have jumped over. Complete them and the course will finish. This applies to each course separately, so if you completed two courses and only received one confirmation, check the other one's curriculum.

  • How can I download course certificates?

    Log in to your Adviser CE dashboard, then hover over your name in the top-right corner and select My Account from the dropdown menu. From there, select the Certificates tab on the left-hand menu, where you can view and download your course completion certificates.

  • I already passed a course, but my firm (or FINRA) is asking me to show that I completed it. What should I do?

    You do not need to retake the course. Your certificate of completion is available at any time from your dashboard: hover over your name in the top-right corner, select My Account, then select Certificates, where you can view and download the certificate as a PDF or copy a shareable link. Certificates cannot be edited by you — if the name on one is wrong, contact support and we will update it for you, after which you can download the corrected copy. This is the document to provide for supervision records, firm audits, or a compliance request. If you have been assigned additional required hours by FINRA or your firm beyond the annual IAR CE requirement, note that repeating a course you have already completed will not generate a second IAR CE credit — contact support and we can help you identify courses you have not yet taken.

Your Account and Sign-In

  • I cannot log into my Adviser CE account. How can I access my course dashboard?

    First, confirm that you are using the same email address you used when enrolling in your courses. Visit the Adviser CE login page and select Forgot Password. If the email address matches the one on your account, you'll receive an email with instructions to reset your password. If you do not receive the email or continue to experience issues, please contact Adviser CE Support.

  • I requested a password reset but never received the email.

    Check your spam, junk, and quarantine folders first — reset emails are frequently filtered by corporate mail systems, which is the most common cause. If it still hasn't arrived, the most likely explanation is that the address you entered isn't the one on your account: the reset email is only sent if the address matches an existing account, so a typo or a different address produces no email and no error. Try any other address you may have used, including a personal one. Firm mail servers also sometimes block external senders outright, so if you are using a work address, try from a personal address or ask your IT team to allow mail from adviserce.com. If none of that works, contact Adviser CE Support and we can identify which address your account uses.

  • I signed up using Google. How do I sign in?

    Use the same Sign in with Google button you used to create your account, not the email and password fields. An account created through Google has no Adviser CE password, so "Forgot Password" will not help and may appear to do nothing. If you are unsure which method you used originally, contact Adviser CE Support and we can check.

  • I think I have two accounts, or my courses are under a different email address.

    This happens most often when someone enrolls one year with a work address and the next year with a personal one, or purchases with one address and signs in with another. Your courses, certificates, and completion history stay attached to whichever account they were purchased under, so you will not see them when signed in to the other one.

    Sign out and try any other address you may have used. If you find your courses under a second account, contact Adviser CE Support with both email addresses — do not simply continue in the new account, because completions recorded there will be reported under that account's profile. We can help consolidate before your CE is affected.

  • How long do I keep access to my courses and certificates?

    You have access to the course material for 365 days from enrollment. Your certificates remain available after that period ends — you can sign in and download a certificate for any course you have completed, from My Account → Certificates, regardless of how long ago you finished it. Losing access to the course material does not affect your ability to evidence the completion.

    We still recommend downloading a PDF copy of each certificate when you complete a course and keeping it with your own compliance records, so a copy is always to hand when your firm or an auditor asks for one.

    Please note that the annual IAR CE deadline is December 31 of each year. If you have not completed your required credits by this deadline, your IAR status becomes CE Inactive (you may also see this described as a delinquency in FinPro) until all required coursework is completed.

  • What happens if I fail to complete a course within the provided timeframe?

    If you do not complete your course within the allotted time, you may need to re-enroll and pay the course fee again. Please contact customer service for assistance or potential extensions.

IAR CE Requirements

  • Who needs to comply with Investment Adviser Representative Continuing Education (IAR CE) requirements?

    Every investment adviser representative registered in a jurisdiction that has adopted the model rule must comply with IAR CE requirements, regardless of where their firm is registered. For the full requirement explained, see Understanding Investment Adviser Representative Continuing Education (IAR CE) Requirements in our Help Center.

  • What happens if I do not split my CE credits correctly between the required categories?

    If the 12 credits are not split evenly between Products and Practices and Ethics and Professional Responsibility (6 credits each), you will not meet the annual requirements. The two halves are tracked separately and are not interchangeable — completing 8 credits of Products & Practices and 4 of Ethics totals 12, but still leaves you 2 Ethics credits short, and the 2 extra Products & Practices credits are simply wasted. They cannot be moved across categories and cannot be carried into next year.

  • What credits are required each year per NASAA?

    Per NASAA, each IAR is required to complete 6-credits in Ethics & Professional Responsibility and 6-credits in Products & Practices annually. Adviser CE offers 12-credit bundles, 6-credit bundles, and individual courses within each section.

  • Can IARs carry forward excess CE credits to the next year?

    No, any excess CE credits completed in a year cannot be carried over to the next year.

  • I am registered as an IAR in more than one state. Do I need to complete CE separately for each?

    No. Per NASAA, completing 12 credits satisfies the IAR CE requirement for every state you are registered in that has adopted the model rule — you do not multiply the requirement by the number of registrations. One 12-credit bundle covers you across states. Note that this reciprocity depends on your home state's requirements being at least as stringent; if you are registered in a state with additional requirements of its own, confirm those separately using NASAA's resources.

  • I registered as an IAR partway through this year. Do I owe 12 credits for this year?

    No - if this is your first-ever registration as an IAR in a jurisdiction with an IAR CE requirement. Under NASAA’s IAR CE model rule, your annual CE obligation begins on January 1 of the following calendar year; it is not prorated for the partial first year. Beginning next year, you must complete 12 IAR CE credits annually: 6 Products and Practices credits and 6 Ethics and Professional Responsibility credits.

    This first-year exception does not necessarily apply if you already had an IAR CE obligation—for example, because you were previously registered in another IAR CE jurisdiction and are simply adding a new state, changing firms, or returning after a lapse. Once the requirement applies, withdrawal from an in-scope state generally does not eliminate it. Confirm any unusual registration history with your compliance team.

  • How do I know what additional credits are required by my employer and/or state?

    We recommend contacting your employer directly to confirm their specific continuing education requirements. For state-specific requirements, you can review additional state requirements per NASAA's resources: https://www.nasaa.org/industry-resources/investment-advisers/state-investment-adviser-registration-information/

  • What happens if I miss the December 31 deadline?

    If you do not complete your 12 credits by December 31, your IAR status becomes CE Inactive. You remain registered, but you must make up the outstanding credits. If the deficiency is still outstanding by the CRD system shutdown date in the following year, you become ineligible for IAR registration or renewal in every state that has adopted the rule. Credits you earn later are applied by FINRA to your oldest outstanding deficiency first, so completing the missing courses is what restores you to compliance.

  • I want to finish before December 31. How late can I leave it?

    Give yourself a buffer, and count backward from late December rather than from the 31st. We report completions to FINRA within 3–5 business days, and FINRA then processes the report on its own timeline. On top of that, the CRD system stops processing course rosters for that year's renewal in late December — usually around December 26, with NASAA publishing the exact date and cutoff time in its IAR CE end-of-year memo each year. Rosters submitted after the cutoff are still accepted and your CE status still updates, but they fall outside that year's renewal processing, and the system is typically not back up until the first business days of January.

    For most people this is a paperwork problem rather than a compliance one. Your completion date is what counts for the requirement, not the date it appears in FinPro, and if the current year is the only year you are short, your registration moves to Approved Pending IAR CE in early January and returns to Approved once the courses process. It matters much more if you are already CE Inactive because of an earlier year's deficiency: still being deficient when the CRD system stops processing means an immediate failure to renew in every state that has adopted the rule, and getting registered again requires clearing the deficiency and filing a new Form U4. If that describes you, treat the late-December cutoff as your real deadline, not December 31.

    Either way, plan to finish with at least a week of business days to spare, since December has few of them around the holidays, and keep your completion certificate as evidence of the date in the meantime.

Registration Accuracy and FINRA Acceptance

  • What should be included in the registration for CE courses?

    Participants should include their first name, last name, and personal CRD number. It is important that this information matches exactly with your FINRA registration records. For the full guidelines, see Registration and Course Completion Guidelines for CE Credits in our Help Center.

  • Why is it important to use personal CRD numbers instead of firm CRD numbers?

    Personal CRD numbers are required to ensure that CE credits are correctly attributed to the individual representative, not their firm. If you are not sure where to find yours, see What is My Personal Central Registration Depository (CRD) Number? in our Help Center.

  • What are the consequences of mismatched registration records?

    Mismatched records between the registration information provided for a CE course and FINRA registration records will lead to non-acceptance of CE credits by FINRA.

  • How can I ensure my course completions are accepted by FINRA?

    Always complete courses under your own profile, secured with your personal login and password, and verify that all registration details match your official FINRA records.

  • That email means your course results could not be submitted to FINRA because the first name, last name, or personal CRD number on your Adviser CE profile does not exactly match your FINRA record. Look yourself up at https://adviserinfo.sec.gov/ to see how your name and personal CRD number are recorded, then update your Adviser CE profile to match: hover over your name in the top-right corner, select My Account, and edit your profile. Be sure to use your personal CRD number, not your firm's. Once your profile matches, we resubmit your completed courses to FINRA — you do not need to retake anything, and you do not need to repurchase. For step-by-step instructions, including how to get the name on an already-issued certificate corrected, see Fixing a Name or CRD Mismatch That Is Blocking Your CE Reporting in our Help Center.

  • How do I update my personal information (e.g., name or CRD number) within my Adviser CE profile to ensure credits report correctly?

    Log in to your Adviser CE dashboard, then hover over your name in the top-right corner and select My Account from the dropdown menu. From there, you can edit your profile information as needed.

CE Reporting and Your Record

  • How soon after I finish a course will my results be reported to FINRA (FinPro)?

    We report the results of your courses to FINRA within 3-5 business days from the time of completion. If you were behind on credits from the previous year, FINRA typically applies any credits you earn to fulfill the longest deficiencies first. Once reported, FINRA will process the information and update your official records. The total time for your course completions to appear on your FINRA record may vary depending on FINRA's processing times. For more detail, see When Will My Course Results Be Reported to FINRA (FinPro)? in our Help Center.

  • What should I do if my CE credits don't show up in FinPro?

    Check your previous year's record first — this is the most common cause by far. Under the NASAA rules, FINRA applies newly reported credits to your oldest outstanding deficiency first. If you were short on credits in an earlier year, the courses you complete now are used to close that older gap before anything is applied to the current year. The result is that your credits can be reported correctly and on time, and your current year still shows a shortfall, because the credits went to a prior year. Open your FinPro CE history and review each year, starting with the earliest one showing a deficiency — in most cases the credits are there.

    If they are not, work through these in order:

    1. Confirm every lesson in the course is complete. A course is reported only when all of its lessons are finished, not when you pass the final assessment. The Course Survey, which sits just before the Final Assessment, is the one most often skipped.

    2. Check your profile details. Your name and personal CRD number must match your FINRA record exactly — use your personal CRD, not your firm's. A mismatch causes FINRA to reject the submission, and we would normally have emailed you about it.

    3. Allow enough time. We report within 3–5 business days, and FINRA then processes on its own timeline.

    4. Check whether you exceeded 6 credits in that category. FinPro displays only the credits it applied to the annual requirement — the first 6 Products & Practices and the first 6 Ethics & Professional Responsibility credits earned during the year. Anything beyond that is still reported and still on your record, but the course may be listed with 0 credits or a reduced number next to it. Click the information (i) icon beside the credit number: FINRA shows a note confirming you have exceeded the annual requirement for that credit type and only the required credits are displayed.

    5. Read the two categories separately. The requirement is not 12 credits — it is two separate requirements of 6, and credits in one category cannot satisfy the other. If you completed 9 Products & Practices credits and only 3 Ethics & Professional Responsibility, your record shows 6 Products & Practices (the extra 3 are over the cap and hidden) and 3 Ethics & Professional Responsibility, which is a real shortfall of 3. The total looks right, so this is easy to mistake for a reporting problem. Unlike the other causes, this one means you still owe credits, and they must be in the category that is short.

    If you have checked all six and your credits are still unaccounted for, contact Adviser CE Support with your personal CRD number and the course names and completion dates. For the full walkthrough, see Why Your CE Credits Aren't Showing in FinPro in our Help Center.


  • Can Adviser CE ask FINRA to apply my credits to a different year?

    No. Adviser CE reports each completion accurately — course number, credit category, and completion date — but which year FINRA applies a credit to is determined by the NASAA IAR CE rules and carried out by FINRA, not by us. Credits go to the oldest outstanding deficiency first, and neither we nor your firm can request that they be moved. If your credits closed a prior-year gap, you may still owe credits for the current year; determine the remaining shortfall from your FinPro record, checking Ethics & Professional Responsibility and Products & Practices separately, and complete the difference.

  • I completed a 12-credit bundle, but only 6 credits show in FinPro. Where are the rest?

    First, check your previous year. FINRA applies credits to your oldest outstanding deficiency first, so if you were short in an earlier year, part of what you just completed may have been applied there rather than to the current year. Review each year in your FinPro CE history before assuming anything is missing.

    Second, check that every course in the bundle is fully complete. Credits are reported per course, not per bundle — a bundle is a package of individual courses, and each is reported as it is completed. Confirm on your dashboard that every course shows complete, and within each one that every lesson is complete, including the Course Survey. A course where the exam was passed but a lesson was skipped will not report.

    If both check out and the credits are still short after 3–5 business days, contact Adviser CE Support with your CRD number and we will trace the submissions.

  • What happens if my status is CE Inactive, or my FinPro account shows a delinquency?

    If you have an outstanding CE deficiency — shown as CE Inactive status, or as a delinquency in FinPro — FINRA will apply any continuing education credits (reported by Adviser CE) that you earn toward the oldest outstanding deficiencies first. Your account is brought back into compliance by completing the required courses and satisfying all outstanding credit requirements.

    Be aware of what this means in practice: credits you complete now may be consumed closing an earlier year's gap rather than counting toward the current year, so clearing a deficiency can take more than one year's worth of coursework. Check each year in your FinPro CE history to see where your credits have been applied and what remains outstanding, and remember that Ethics & Professional Responsibility and Products & Practices are tracked separately.

  • I cannot log into my FinPro account.

    For anything related to your FinPro account, please contact their support team: https://www.finra.org/registration-exams-ce/finpro

  • Do Adviser CE courses count toward CFP® or other professional designations for CE requirements?

    Yes. Adviser CE courses are approved for IAR and CFP® continuing education credits. Each course page lists that course's CFP CE hours and its CFP Board course number, and each bundle page lists the bundle's total CFP CE hours.

  • How do my CFP® CE hours get reported to the CFP Board?

    Adviser CE reports your CFP CE hours to the CFP Board for you — but only if a correct CFP ID number is on your Adviser CE profile at the time you complete the course. This is the single most important thing to know about CFP reporting:

    • Add your CFP ID before you finish the course. You can enter it when you register, or add it later from your dashboard: hover over your name in the top-right corner, select My Account, and update your profile.

    • A CFP ID added after you complete a course is not applied retroactively to that course. The reporting is based on what was on your profile at the moment of completion, so adding your CFP ID afterward will not trigger a report for work you have already finished.

    • Check that it is correct, not just present. A mistyped CFP ID has the same effect as a missing one.

    If you have already completed courses and only then realized your CFP ID was missing or incorrect, contact Adviser CE Support with your CFP ID and the courses in question and we will review what can be done.

    Each course page lists that course's CFP CE hours and its CFP Board course number, and your certificate of completion — downloadable from My Account → Certificates — is your supporting documentation.

    Credits for other designations, such as CPWA®, are not reported by Adviser CE. Check with the issuing body about submitting your certificate for consideration.

Group Orders and Seat Managers

  • Can I purchase a group order and/or enroll my team in Adviser CE courses?

    Yes. We offer Group Orders, allowing organizations to purchase CE courses in bulk for multiple learners. When you enroll learners, you are automatically designated as the Seat Manager; however, this does not automatically enroll you in any courses. To learn more about Group Orders or to get started, see Group Orders in our Help Center.

  • Do you offer discounts for purchasing multiple seats?

    Yes. Volume discounts apply automatically to every Adviser CE course and bundle, based on the number of seats in a single order: 10% off 2–4 seats, 20% off 5–9 seats, and 25% off 10 or more seats. The discount applies to every seat in the order and is calculated at checkout — there is no code to enter and no need to request a quote. Only the highest tier your order qualifies for is applied; the tiers do not add together. To learn more, see Volume Discounts in our Help Center.

  • Can I combine a volume discount with a coupon code?

    No. Volume discounts and coupon codes do not stack. If you enter a coupon code at checkout, it replaces the automatic volume discount, so we recommend comparing the two and using whichever gives you the better price.

  • Do volume discounts apply if I buy more seats later?

    Volume discounts are calculated per order, based on the number of seats in that order. Seats purchased in earlier orders are not added together to reach a higher tier, so if you expect to enroll a set number of learners, buying the seats in one larger order will generally reach a better tier than several smaller ones.

  • What does the Seat Manager role entail?

    Seat Managers play a key role in managing Group Orders within Adviser CE. Seat Managers are users responsible for managing Group Order purchases, providing access to a dedicated Admin Dashboard, and track purchased seats, claimed and unclaimed seats, and learner enrollment and activity. To learn more about Seat Managers, see Seat Managers in our Help Center.

  • Can I see how far along my team is with their courses?

    Yes. For teams of 5 or more seats we can enable team progress reporting at no extra charge. It shows, for every adviser who has claimed a seat and enrolled: percent completed, percent viewed, the date they started, the date they completed, and when they last signed in — and you can export the whole thing to CSV for your compliance records.

    To request it, email [email protected] with your order number and the name and email address of the person who should have reporting access. If that person is you as the buyer, reporting is added to the account you already use to manage seats — there is no second login. Reporting access is read-only, so it is safe to give to a compliance officer or an outside compliance consultant: they can view and export progress, but cannot change enrollments or see billing.

    Note that the progress report covers advisers who have claimed a seat and enrolled. Anyone who has not claimed their seat yet appears in your Seat Manager dashboard as an unclaimed seat instead — so use both views when you are chasing people. To learn more, see Team Progress Reporting for Group Orders in our Help Center.

  • Does team reporting show my advisers' certificates?

    No. Certificates are downloaded by each adviser from their own account under My Account → Certificates. The team report gives you the completion date, which is the fact the certificate evidences and is generally what a firm needs for its own records. If you need the certificate document itself, ask the adviser to download and send it.

    Separately, note that you do not need to file anything with FINRA — Adviser CE reports every completion automatically within 3–5 business days under the adviser's personal CRD number. Team reporting is for your internal records and does not change what is reported.

  • Can my firm be invoiced for a team order?

    Yes. We invoice teams, so your firm can be billed rather than paying at checkout — email [email protected] with the number of seats, the product you want, and your firm's billing details, including any purchase-order reference your accounts payable team needs.

    If you have already paid and simply need the invoice document for your records or for expense reimbursement, you do not need to contact us: invoices and receipts are available any time from your dashboard under My Account → Billing and Order History. See "I've already paid — can I get an invoice showing my firm's name for expense reimbursement?" in the Payments, Invoices and Refunds section above.