Investment Advisor Training

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

Continuing Education

Select training, enroll employees and measure learner retention using real-time reports.

Inform + Engage your Advisors

In today’s rapidly changing industry, the need for your investment advisors to stay current with rules and regulation is paramount. At Quest CE, we equip you with the technology, support, and training your firm needs to be successful. Our cost-effective courses enhance your advisors’ ability to provide investment advice to clients, ultimately protecting the client, advisor and firm.

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NASAA IAR CE Catalog (Coming Soon!)

In accordance with NASAA’s IAR CE model rule, investment advisors (in impacted jurisdictions) will need to start taking 12 credits of CE each year to maintain registration. Quest CE was recently approved as a CE vendor and is in the process of getting content filed for credit. These courses will be able to be purchased individually or delivered through a firm program.

Standard Catalog (Non-State Credit)

Quest CE still maintains its standard investment advisor training catalog, which is not approved for NASAA credit. This catalog features over 70 bite-size learning modules, which cover a variety of topics and can easily be customized to reflect your firm’s specific tone and needs using our Course Builder Tool.

BROWSE CATALOG

RIA Compliance Express

Set up an RIA training program right now – in as little as 15 minutes

Get Started Now

Our IA compliance solution walks you through the steps of setting-up an account, assigning training and tracking results. No demo or contract needed!

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Talk to an Expert

Want one of our product experts to walk you through our system? No problem, schedule a demonstration today!

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Popular Courses

Looking to freshen up your content? Check out these popular courses.

Reg BI Considerations for Variable Annuity Recommendations

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The SEC’s New Marketing Rule: Guidance for Investment Advisors

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Introduction to the Industry for Investment Advisors

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Complete Your Program

Finish your program by adding these other services!

Annual Questionnaires

Add an actionable ACQ to your program to verify your representatives’ annual activities and disclosures.

Conflict of Interest Tracking

Individually track Outside Business Activities, Gifts, Entertainment, Customer Complaints and more!

Annual Compliance Meeting

Cut costs, improve productivity and accelerate learning with our online meeting technology.

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Still not convinced? Take a test drive of our system today!

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