It is hard to believe that we are already in the 4th Quarter of 2025! We want to remind everyone there are several requirements due by October 31, 2025.
Non-Registered Associated Persons requirements due by 10/31/2025
- ECM Annual Account Attestation: All associated persons must report all personal accounts, related accounts and accounts of which they have beneficial ownership. Complete the annual attestation in the ECM tool in Adviceworks. Access the ECM tool through AdviceWorks > Apps > ECM. If you have any questions, please contact PTA@cetera.com or the Resource Center. For technical issues, please contact the Help Desk at 800.771.6315
- NRA Training: Cetera has mandatory training courses for non—registered persons in the Learning Center in Adviceworks. Non-registered individuals can find these required courses in AdviceWorks > Learning Center and the course will be listed in your “Transcript View” or in your list of Continued Learning.
- Annual Business Questionnaire (ABQ): This should be available on or around 10/1/25. In the past, a link to the ABQ was provided via email.
Registered Associated Persons requirements due by 10/31/2025
- Regulatory Element CE: All registered persons must complete their annual FINRA Regulatory Element courses via the FinPro website. You can check the status of your FINRA Regulatory CE completion through FinPro. Information on FinPro including account setup, login instructions, and password recovery can be found here: https://www.finra.org/registration-exams-ce/finpro. Contact FINRA at 240.386.4040 for assistance with FinPro Monday-Friday from 8 am – 8 pm ET
- Note: FINRA’s deadline is 12/31, but Cetera has an earlier deadline of 10/31.
- IAR CE (if applicable): Every Investment Adviser Representative (IAR) who is advisory registered in a state that has adopted the new NASAA model rule will need to complete the IAR Continuing Education (CE) requirements. Please contact the Prosperity Network Compliance Team if you are not sure if this requirement applies to you.
- Note: FINRA’s deadline is 12/31, but Cetera has an earlier deadline of 10/31
- You can check the status of your IAR CE completion through FinPro. Information on FinPro including account setup, login instructions, and password recovery can be found here: https://www.finra.org/registration-exams-ce/finpro
- Firm Element CE: All registered representatives and registered assistants must complete Cetera’s firm element continuing education (CE) requirements each year. You can access the courses via AdviceWorks > Learning Center.
- Annual Business Questionnaire (ABQ): This should be available on or around 10/1/25. In the past, a link to the ABQ was provided via email.
- ECM Annual Account Attestation: All associated persons must report all personal accounts, related accounts and accounts of which they have beneficial ownership. Complete the annual attestation in the ECM app in Adviceworks. Access the ECM tool through AdviceWorks > Apps > ECM. If you have any questions, please contact PTA@cetera.com or the Resource Center. For technical issues, please contact the Help Desk at 800.771.6315
Please contact the Prosperity Network Compliance Team with any questions. compliance@prosperityadvisors.com or 913-529-5500 Option 2.
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