Investment Adviser Representative Continuing Education

Stay competitive and meet your regulatory obligations.

RIA Compliance Consultants, Inc. is an approved provider of investment adviser representative continuing education (“IAR CE”).

  • Why Choose us?
    • Quality Content

      • Timely and Interesting Courses. We build our courses in-house leveraging the experience of our senior compliance consultants and our library of resources and industry connections. Whether you are a newly registered investment adviser representative or a seasoned compliance veteran, our course cataloguei will have you covered.
      • Trusted Industry Professionals. Every continuing education course we offer is taught by one of our highly qualified senior compliance consultants. Our instructors each have over 20 years of experience in the financial services industry advising investment adviser firms and registered broker-dealers. As a group, our specialized consulting team has over 200 years of experience advising clients on a wide spectrum of registered investment adviser issues.
      • Approved for IAR CE Credit. All courses in our catalog have been approved by Prometricii and are eligible for investment adviser representative continuing education in all US jurisdictions that have adopted the IAR CE model rule.iii

      Convenient & Customizable Program

      • Live and On-Demand Courses. For convenience, choose from our library of on-demand courses. Pause or resume your on-demand course whenever you like, and your progress will be saved. We also plan to offer live webinar courses periodically throughout the year.
      • Meet Your Regulatory Obligations. Keep track of your IAR CE progress through ce4advisers.com, our online education program. Successfully complete a course at ce4advisers.com? We will report your attendance to FINRA (including the $3 per-course FINRA reporting fee).
      • Manage IAR CE for Your Whole Firm. Purchase credits for you firm’s IARs to use on their own. Or assign courses and track your IARs’ progress to help them stay on track with their annual IAR CE requirement.

      Excellent Service

      • Our Continuing Education program is supported by the same skilled team you know and trust. Questions? Call us at 877-345-4034 or email ContEd@ria-compliance-consultants.com to talk to a Continuing Education specialist centrally located at our Omaha, NE office.

      Easy to Use Online Platform

      • Our Continuing Education Program is optimized for online learning. Use your laptop, tablet, or smartphone to access and complete your courses anytime, anywhere that has a high speed internet connection.
      • Intuitive design makes it easy to find courses, measure your progress, and finish your IAR CE.

      iNew Courses will be added throughout 2022, subject to approval by Prometric. 
      iiPrometric is the course management vendor selected by NASAA. Approval by Prometric means that a course meets NASAA’s minimum course requirements and is eligible for IAR CE credit. It does not indicate endorsement by Prometric, NASAA, or any particular securities regulator. 
      iiiSubject to successful completion by course participant.

  • What is IAR CE?
    • Although many other financial industry professionals have been required to complete continuing education for years, prior to 2022 there was no requirement that investment adviser representatives complete annual continuing education to maintain their registration status.

      The following jurisdictions have adopted the IAR CE model rule:

      • Arkansas (1/1/2023 effective date);
      • California (5/1/2024 effective date);
      • Colorado (1/1/2024 effective date);
      • Florida (1/1/2024 effective date);
      • Hawaii (1/1/2024 effective date);
      • Kentucky (1/1/2023 effective date);
      • Maryland (1/1/2022 effective date);
      • Michigan (1/1/2023 effective date);
      • Mississippi (1/1/2022 effective date);
      • Nevada (1/1/2024 effective date);
      • North Dakota (1/1/2024 effective date);
      • Oklahoma (1/1/2023 effective date);
      • Oregon (1/1/2023 effective date);
      • South Carolina (1/1/2023 effective date);
      • Tennessee (1/1/24 effective date);
      • Vermont (1/1/2022 effective date);
      • Washington, D.C. (1/1/2023 effective date);
      • Wisconsin (1/1/2023 effective date); and
      • U.S. Virgin Islands (1/1/2025 effective date).

      Investment adviser representatives in jurisdictions that have adopted the IAR CE model rule must complete six hours of Products and Practices and six hours of Ethics and Professional Responsibility each calendar year (with three credit hours specifically covering ethics).

      AL AK AZ AR CA CO CT DE FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VA WA WV WI WY DC AS GU MP PR VI
  • More Resources
    • For more information on IAR CE requirements and state adoption, visit our IAR CE FAQ.

NASAA Disclosure: NASAA does not endorse any particular provider of CE courses. The content of any course offered by RIA Compliance Consultants, Inc. and any views expressed therein are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.