IAR CE Needs to be completed by 12/24/24.
A few months ago I wrapped a year long project of pouring my heart and soul into building course for investment advisers.
I wish I had this course when I was an adviser. It (literally) details everything you need to know as an adviser when you are working with “held away” 401(k) accounts. Many advisers don’t know that 9 times out of 10, they are an ERISA Fiduciary when working with their clients 401(k) accounts (advising or trading).
As an ERISA Fiduciary, there are very specific things an adviser NEEDS to do. They are not optional and if not done, the adviser could end up paying back any client losses with their own personal assets (there is no “corporate protection” when working with ERISA accounts).
I was very honored when we got the course approved 6.5 hours of CFP credit and 6 hours of IAR “Ethics”. There are currently 18 states that require investment advisers to earn 12 hours of CE credits every year. An IAR MUST complete 6 hours of “Products and Practice” and 6 hours of “Ethics and Professional Responsibility”.
It’s pretty easy to pick up hours for “products” as any wholesaler can easily provide those (oftentimes with a “free” steak dinner)!
However, it’s harder to find “ethics” CE. So, I was very pleased when our course was approved for all six hours.
If you are in any of the states below, please know you need to abide by these requirements.
Arkansas (effective in 2023)
California (effective in 2024)
Colorado (effective in 2024)
Florida (effective in 2024)
Hawaii (effective in 2024)
Kentucky (effective in 2023)
Maryland (effective in 2022)
Michigan (effective in 2023)
Mississippi (effective in 2022)
Nevada (effective in 2024)
North Dakota (effective in 2024)
Oklahoma (effective in 2023)
Oregon (effective in 2023)
South Carolina (effective in 2023)
Tennessee (effective in 2024)
Vermont (effective in 2022)
Washington, D.C. (effective in 2023)
Wisconsin (effective in 2023)
As an “official” CE Provider of “Ethics” we have been notified by FINRA that all IAR CE needs to be reported to them by 12/26/2024 at 6pm EST.
If you still need to complete 6 hours of “ethics” CE, please checkout our course.
We have created the first ever course for IARs that work with “held away” 401(k) accounts.
The course has been approved for the 6 required hours of “ethics” CE and 6.5 hours of CFP credits (if applicable).
You can complete your ethics requirement for the low cost of a onetime investment of $99.
(Use code “IAR100” at checkout for $100 off).
We also have a course available for CCOs that comes complete with sample ADV language, compliance manual language, annual review, etc for just $399.
Sharpen your knowledge of being an ERISA Fiduciary for “held away” accounts and earn CE (we do all the reporting to FINRA and the CFP Board).
You just need to complete the course and final exam (70% or higher) before 12/24/24.
This will give us a 2 day “buffer” for FINRA to process the CE so it is credited for 2024.
Click the button below to learn more.
And be sure to use the Coupon Code of “IAR100” to take $100 off any package!