Investment Advisor Express

Offer robust training and educational opportunities to help your advisors succeed.

Inform and Engage

In today’s rapidly changing industry, the need for your investment advisors to stay current with rules and regulation is paramount. This is especially true as the SEC vamps up its examination efforts. With Investment Advisor Express, we give you a subscription-based compliance management system that equips you with the technology, support, and training to be successful. Our cost-effective courses enhance your advisers’ ability to provide investment advice to clients, protecting the client, advisor and firm. We also offer a variety of disclosure tracking and policy management solutions to round out your one-stop program.

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Getting Started

Select Services

You’ll first need to select your services, as well as how many users will require access to the system.

Create Profile

After that, you’ll be asked to enter your company’s primary contact information and create an administrator login.

Launch Program

Once within the system, you can add individual user profiles, assign courses and begin monitoring performance.


Bundled Services

Choose from one or many of the below service options.

Investment Advisor Training

Get complete access to our Investment Advisor training catalog.

AML Training 

Keep your advisors up-to-date on Anti-Money Laundering Red Flags.

Insurance CE

Offer state and designation continuing education (CE) credits.

Policy Management

Electronically host all internal policies and corporate documents.

 

Disclosure Tracking 

Track Outside Business Activities, Gifts, Entertainment and more…

Annual Compliance Meeting

Choose from one of our pre-recorded annual compliance meetings.

Speak to an Expert

Complete the form below to learn more about Investment Advisor Express.

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