At RIA Compliance Concepts, we believe that education only begins with qualification. Learning is a lifelong commitment, which is why we have decided to further empower all of our Investment Adviser Representatives (IARs) and financial professionals holding the CFP designation.
In Partnership With Kaplan, A Reputable CE Provider. We Are Proud To Announce The Launch Of Our Continuing Education Program for IARs.
Why Continuing Education Matters?
In an industry where markets change every day, continuing education is not optional. It is essential, especially given how many novel economic laws are emerging. In fact, the North American Securities Administrators Association (NASAA) announced new continuing education model requirements in 2020.
Currently, the following states have adopted the continuing education requirement for investment adviser representatives ("IARs" ):
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Arkansas (1/1/2023 effective date)
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California (1/1/2024 pending effective date)
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Colorado (1/1/2024 effective date)
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Florida (1/1/2024 effective date)
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Hawaii (1/1/2024 effective date)
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Kentucky (1/1/2023 effective date)
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Maryland (1/1/2022 effective date)
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Michigan (1/1/2023 effective date)
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Mississippi (1/1/2022 effective date)
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Nevada (1/1/2024 effective date)
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North Dakota (1/1/2024 effective date)
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Oklahoma (1/1/2023 effective date)
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Oregon (1/1/2023 effective date)
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South Carolina (1/1/2023 effective date)
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Tennessee (1/1/24 effective date)
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Vermont (1/1/2022 effective date)
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Washington, D.C. (1/1/2023 effective date)
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Wisconsin (1/1/2023 effective date)
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U.S. Virgin Islands (1/1/2025 effective date)
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Failure to adhere to these requirements in the states that have adopted this requirement can affect your license.
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You can understand where they are coming from: It’s their job to ensure that all IARs stay updated and informed on the latest regulatory requirements and best practices. Through continuous IAR education, you will have nothing to worry about. You will always be in the state securities regulator’s good books, and your career will always be on an uphill trajectory!
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Why Continuing Education with RIA?
Variety
Through our partnership with Kaplan, we offer a wide range of on-demand CE courses for IARs with CFP designations. From products and practices courses to advance planning for senior needs, annuity concepts, section 529 plans, asset allocation, and so much more, you will learn foundational concepts spanning various disciplines that will help you serve your clients better.
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Flexibility
Registering for Continuing Education through our CE portal with Kaplan lets you learn online and in your own time. Our continuing education courses cater to your unique learning style. You don’t need to leave the comfort of your home to learn from industry experts in a safe and convenient environment.
Informative
Kaplan has spent years designing and refining powerful CE courses for IARs that provide everything you need to know about a wide range of crucial topics. Explore a sprawling library of continuing education courses, each designed to cater to the specific subjects you wish to focus on. You can even complete one CE course and earn credits for multiple designations!
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Rewarding
Apart from maintaining your licensure and sharpening your competitive edge, our high-quality continuing education courses further let you earn CE credits from anywhere in the world. Whether you’re a newly registered IAR or a financial veteran, there is something for you in our extensive course catalog.
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Peace of Mind
Earning your license as an investment adviser representative is one thing. Maintaining it is another. Our Kaplan-created courses make it easy to sustain your hard-earned industry status! What’s more, we do more than sell continuing education courses. We want to help you decrypt complex state requirements and invest in courses you genuinely need and will actually use.