As a financial advisor, your “knowledge advantage” is what drives client success. But managing the professional development credits that sustain your licenses shouldn’t be your second job. CE Records automates the administrative burden so you can stay focused on the markets and your clients.
Unified command of your professional credentials
Stop juggling disparate portals and paper files. Whether itâs investment, insurance, or financial planning, CE Records provides a single, high-performance platform to track every designation held.
Comprehensive coverage
We track an extensive range of industry designations, including CFA, CIM, CFP, CLU, PFP, and dozens more across the investment, insurance, and financial planning sectors.
A “living” record
Access your status instantly on any mobile or digital device. Your compliance posture is always in your pocket.
Eliminate the renewal scramble
Donât wait for an audit or a renewal deadline to find out youâre short on credits.
Proactive intelligence
Our dashboard provides an “at-a-glance” status of your progress.
Precision reminders
Receive automated, timely alerts when deadlines approach, giving you the lead time to act with confidence rather than haste.
Curated growth, simplified
Access a vast inventory of third-party continuing education courses specifically curated for your license requirements. Once a course is complete, our platform makes tracking effortless, ensuring your records are updated in real-time.
Investment, insurance and financial planning designations in one place
Thanks to over 50 designations entered into our system, you can make sure all of yours are on your dashboard so you can track the progress of each of them.
Track unlimited CE credits
Keep up to date with the latest industry and regulatory requirements.
Personalized dashboard with your CE records and requirements
Know where you stand at a glance and stay motivated to take courses to increase your expertise.
Never miss a deadline again
Avoid last-minute anxiety thanks to our timely reminders and automated notifications.
Track certificates per status
Track certificates and identify which ones are outstanding and what actions need to take place.
Protect your assets. Empower your advisors!
We offer an enterprise solution to help monitor your professional teams’ CE journey.
With wealth management, compliance is the baseline; efficiency is the differentiator
CE Records eliminates the administrative drag that forces top producers to step away from their clients to manage administrative requirements. We provide the infrastructure to protect your companyâs reputation while maximizing advisor time on revenue generating activities.
Enterprise compliance, unlocked
Eliminate fragmented tracking with a centralized, enterpriseâgrade command center. Our dashboard delivers leadership a realâtime, highâdefinition view of the firmâs compliance posture across all license categories-investment (CFA, CIM), insurance (CLU, CHS), and financial planning (CFP).
Recover billable time
Every hour an advisor spends as a “data janitor” is an hour not spent growing AUM.
Automated ingestion
We remove the burden of certificate chasing through automated course tracking.
Proactive risk mitigation
Our predictive compliance dashboard flags potential licensing gaps 12 months in advance, moving your firm from reactive firefighting to strategic prevention.
Drive advice excellence and enhance revenue
Compliance is mandatory, but mastery is a choice. CE Records allows you to align your companyâs educational path with its revenue goals.
Strategic talent development
Curate proprietary internal learning paths or access our comprehensive library of third-party courses to ensure advisors provide the highest level of advice.
Benchmark performance
Track individual and team progress against enterprise goals to ensure your company remains the most competent in the market.
A growth enabler
By automating the tracking of CE, we improve advisor efficiency and ensure your companyâs regulatory standing is bulletproof.
âFor years I scrambled. CE Records application was a breath of fresh air. It allowed me to record the courses as soon as I took them, upload my certificates, and at year-end everything was there at my fingertips. It also alerted me to whether or not I was deficient on any requirements, early in the year, so I could proactively plan to make sure I completed my requirements."
âAs someone that has worked with over 3,000 advisors, I can tell you that the administrative burdens of running an advisory practice have become the single greatest impediment to business growth in this industry. Collecting, recording and tracking CE credits is just another additional drain on an advisorâs dwindling capacity. CE Records solves this problem and gives that capacity back to advisors so they can focus their time and energy back where it should be, on their clients. I used this as an advisor and now highly recommend it to the advisors I work with in my consulting practice. Any time you can simplify, automate and protect your business from compliance risk, you should be running towards this type of solution for all areas of your business."
âI wish I had this tool when I was a practicing Associate Portfolio Manager. I had to track separate credits for my CFA designation, my insurance license, as well as for my securities license requirements. What a way to save time, frustration and expense."
âAs a compliance officer, Iâm delighted that a platform like CE Records is dedicated to reducing the administrative burden on investment professionals - This type of development fills a need in the industry. Compliance officers at dealers and insurance distribution firms should all take a close look at this tracking app to help their advisors manage their continuing education obligations for licenses and designations."
âI signed up for CE Records earlier this year to help keep track of my training and I highly recommend other advisors do the same. Itâs easy to use and I have now assigned the task to my assistant to add my credits to my profile. The best part, when I was audited for compliance I just downloaded the report and provided it to my compliance officer. It was very simple. As this product grows I can see how this could be the standard for helping track CE credits."
Financial Advisor
Founder, Marketing Motivators
Compliance Director, Fiera Capital Corporation
Advisor
Discover why CE Records was awarded Wealth Professional Canadaâs Wealth Tech Providers 2026 Award, given to companies employing technological innovation to transform the Canadian wealth management industry, improve advisor efficiency, and enhance client experiences.
