My Adviser CE Courses/Dashboard

  • 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.

  • 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.

  • How long are the courses active once I enroll?

    Once you enroll in an Adviser CE course, you have access to the course for 365 days. Please note that FINRA’s annual continuing education deadline is December 31 of each year. If your course is not completed by this deadline, your FinPro account may be placed in a delinquent status until all required coursework is completed.

  • 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.

  • 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.

  • 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.

  • What types of payment do you accept?

    We accept various forms of payment including major credit cards and online payment systems. All payments are processed securely.

  • 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 access my course 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.

My Adviser CE Courses/Dashboard (Continued)

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

    Upon successful completion of a course, you will receive a completion notification via email. Additionally, your progress and status will be updated on your user dashboard.

  • 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 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. In addition, all payments are processed securely through our system. We do not sell or share your personal or payment information. Your data is kept private and protected using industry-standard security measures.

  • 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. To request your refund, email [email protected] with your order numbers (i.e. ORD0009142), reasons for the refund request, and date of purchase.

  • 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.

  • 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.

  • 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.

  • 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. The specific number and type of credits for each course are listed on the individual course pages.

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

    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 at [email protected].

Annual Reporting & Requirements

  • 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. You may also view the source below for further information at this source: https://support.adviserce.com/en/articles/9566477-when-will-my-course-results-be-reported-to-finra-finpro.

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

    Before proceeding, please review your profile information to ensure that your name and personal CRD number in your Adviser CE account match your FINRA records exactly. Be sure to use your personal CRD number, not your firm’s CRD number. We also recommend regularly monitoring your FINRA FinPro account for updates and downloading your course completion certificates from the Adviser CE platform for your records. If, after confirming your profile information and checking your FINRA record, your CE credits still do not appear in FinPro, please contact Adviser CE Support for assistance at [email protected].

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

    Per NASAA regulations, duplicate courses will not count toward the IAR CE requirements - even if completed in a subsequent year. Each course must have a unique course identification number in order for an IAR to receive credit. We do not support enrolling in the same course twice.

  • 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.

  • 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 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.

  • 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

  • What happens if my FinPro account is in delinquent status?

    If your FinPro account is in delinquent status, 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.

  • 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.

Annual Reporting & Requirements (Continued)

  • 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.

  • 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.

  • 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.

  • 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.

  • 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.

Group Orders & 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, please visit our Help Center: https://support.adviserce.com/en/

  • 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, please visit our Help Center: https://support.adviserce.com/en/