Financial Services · Compliance

Adviser License Renewal Tracking (Firm-Facing)

Track and remind advisers/agents of their own license and continuing education renewal deadlines.

Apps this needs

CRM Salesforce, HubSpot or your local CRM for leads & contacts. Connect during setup
Inbound Email Let the agent read and answer email enquiries. Connect during setup

How it works

  1. Monitors each adviser/agent's license expiry and continuing education completion status by state, via the licensing tracking system.
  2. Sends reminders at set intervals ahead of the deadline.
  3. Escalates items remaining incomplete close to the deadline to firm compliance, given the risk of an unlicensed individual continuing to service clients.
  4. Confirms renewal/CE completion and updates the tracking record.

Data sources

State licensing/CE requirement database Individual completion status

What it targets

  • Licenses/CE renewed before expiry Target 99%
  • Lapsed-license incidents Target 0