Wealth Management Regulatory Resources
Designations from the College for Financial Planning®—a Kaplan Company are highly regarded by key regulatory bodies.
State Insurance CE Information
The College for Financial Planning is a registered State Insurance Continuing Education (CE) Sponsor in all states that require sponsor registration. Only select courses are registered with the state insurance departments. All courses are registered as self-study credit unless otherwise noted.
CE Credit Chart
How to Request State Insurance CE Credit
Requests for state insurance CE credit must be made at the time you enroll in a course. Upon enrollment you will be prompted to provide your national producer number (NPN) and state insurance license number. Within 10 days of your successful completion of the course, the College will report the applicable state insurance CE credit on your behalf with the state(s) you have selected provided you have furnished accurate information including any required affidavits and you have complied with both the College's and your state's rules, requirements and procedures.
It is your responsibility to understand and comply with your state insurance department's rules, requirements and procedures including, but not limited to, proctor and affidavit requirements. The College will not be held responsible for a department's denial of CE credit or the College's inability to report the CE credit because of your non-compliance with the agency's and/or the College's rules, requirements and procedures.
If you are currently enrolled in a course and want state insurance CE credit reported to a state but did not select state insurance CE when registering, please contact our Student Services Center at 800-237-9990 option 2.
Requests for state insurance CE credit made after the course is already completed will not be honored.
Proctor and Affidavit Requirements
It is recommended that students use a Prometric or ISO Quality Testing center for all College for Financial Planning examinations. These Testing centers satisfy most states' and the College for Financial Planning's definition of a disinterested third-party proctor*. If you choose not to take your examination at a testing facility, you must arrange for your own disinterested third party to serve as your proctor or monitor.
Please see below for exceptions:
Arkansas - A state-specific affidavit must be submitted. Prometric testing facilities are NOT approved for AR state insurance CE. ISO Quality Testing centers ARE approved.
New York - YOU MUST TEST AT A TESTING CENTER** and a state-specific affidavit must be submitted.
Arkansas, and New York residents: Send the signed affidavit form to email@example.com or fax to 602-366-3391 within a week of passing the final exam. CE credit cannot be reported to these states until signed affidavits are received.
If you have any questions regarding the above information or are unable to access any of the links, forms, or charts mentioned, please contact our Student Services Center at 800-237-9990 option 2 or via email.
*A monitor or proctor is a disinterested third party (DTP) who serves witness that you have satisfied the requirements of your course and testing procedures in an ethical manner. The proctor must be someone with whom the examinee has no business or family relationship. Business relationship is further defined as working within the same company regardless of physical location, title, or position. A proctor cannot be a currently enrolled student in any College for Financial Planning courses.
** Or use a NY State-Registered Exam Monitor
VIRGINIA residents: please read this required information from your state's department of insurance.
State & National Approval/Regulation
NASAA (North American Securities Administrators Association) Model Rule provides preferential treatment for designations awarded by accredited institutions of higher education. All of College’s designations are acceptable for usage.
NAIC (National Association of Insurance Commissioners) Model Rule provides preferential treatment for designations awarded by accredited institutions of higher education. All of College’s designations are acceptable for usage.
ADV Brochure Supplement
The following text is provided to assist investment advisors who are registered with the SEC comply with the Form ADV brochure supplement (Part 2B) requirement. Advisors may use the entire text or choose sections to copy and paste.