Overview

This help page explains how to track licensing, continuing education, and compliance information when viewing an advisor or agency record. The content link is restricted to users with "Advisor Contract/License Management license enabled," though advisors themselves can access their own records.

Key Sections

License Information Section

Tracks license details including number, state, line of business, and expiration dates. Features include:

• Adding licenses: Requires license number and effective date (unless status is Pending)
• Resident option: Flags advisors living in the licensed state
• Mass operations: Quickly assign or edit licenses across multiple advisors/agencies
• Expiration dates appearing "in red when it falls within the next 30 days"

Continuing Education Credit Information Section

Records continuing education credits earned. Includes:

• Details like classes, credits earned, and application dates
• Applies to advisors only (not agencies)
• Options for single-state or multi-state compliance
• Mass assignment and editing capabilities

Compliance Status Section

Tracks errors and omissions coverage, LTC certificates, AML compliance, NYDFS regulations, Reg BI, and ERISA training. Allows:

• Policy number entry (up to 30 characters)
• State-specific or multi-state records
• Line of business designation
• Mass operations for multiple records

Mass Operations

All three sections support bulk assignment and editing through the Advisor & Agency List menu's Advanced Options.