Securities License Tracking
Track Series 6/63/65/7 license status and continuing education deadlines across your advisors.
Why this gets hard to manage manually
Advisors hold one or more FINRA Series licenses, each with its own continuing education requirements under FINRA's CE program. ComplyNestly tracks license status and CE deadlines together.
FINRA's continuing education requirements include specific windows tied to an individual's registration anniversary, not a single company-wide date — a detail that's easy to miss when tracking advisors as a group instead of individually.
- Registered investment advisor firms and broker-dealers
- Compliance officers tracking CE deadlines per advisor
- Firms preparing for a FINRA or state securities examination
From the problem to the fix
ComplyNestly tracks each advisor's Series license(s) and individual CE deadline, with automatic reminders before their specific deadline approaches.
- Track individual CE deadlines per advisor
- Track multiple Series licenses per advisor
- Automatic status tracking
- Dashboard and Compliance Matrix visibility
- Exportable reports for a FINRA or state examination
How it works in practice
Add advisors with their Series license(s) and registration details
ComplyNestly tracks each advisor's CE deadline automatically
Get reminders before their specific deadline
Use the Compliance Matrix before a regulatory examination
Frequently asked questions
Which Series licenses can I track?
Credential types are free-text, so you can track Series 6, 63, 65, 7, or any other FINRA/state securities license your advisors hold.
Is CE tracking based on a calendar year or registration anniversary?
FINRA's Regulatory Element CE is tied to each individual's registration anniversary — confirm the exact current rules directly with FINRA.
Is there a free way to try this?
Yes. The Free plan supports up to 5 employees and 1 location, no credit card required.
Where this information comes from
Securities licensing and CE requirements are set by FINRA and individual state securities regulators. ComplyNestly does not verify licenses or provide legal or financial advice.
Last reviewed: August 2026
ComplyNestly helps you organize records and stay ahead of renewal dates — it does not verify licenses, provide legal advice, or guarantee compliance. Requirements vary by state, jurisdiction, and employer policy; confirm current requirements with the issuing authority.
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