Broker Check

Regional Reminders

October 2023 Newsletter

Compliance Updates:

Continuing Education Courses

Deadline: October 31, 2023

Just a friendly reminder that all CE courses, both Firm and FINRA related, must be completed by October 31, 2023. Your compliance is crucial to maintain our regulatory standing.

Annual Business Questionnaire (ABQ)

Deadline: October 31, 2023

You should have received an email from Cetera Compliance last Tuesday containing the Annual Business Questionnaire (ABQ). Inside this email, you will find a direct link to your personal ABQ. Please note that it is mandatory for all individuals associated with our firm, whether registered or non-registered, to complete this questionnaire.

Annual Information Security and Data Protection Courses

Deadline: October 31, 2023

In addition to the ABQ, all associated persons are required to complete the Annual Information Security and Data Protection courses. Ensuring the security of our data is of utmost importance.

Registered Representatives

For our registered representatives, please remember to fulfill both Firm-related CE requirements and any FINRA-related requirements (which can be accessed via FINPro) by the October 31 deadline.

Need Assistance?

If you encounter any challenges or require assistance in accessing these courses or completing the ABQ, please do not hesitate to reach out to me. Your success in meeting these compliance requirements is our priority.


- Daniel Paonessa, Compliance Director

732-248-9400 x1105

Technology Tips

Technology Tips

Did you know Cetera offers over 60 different technology options for your practice's needs?

From marketing to client questionnaires, there are many options for you to choose from.

To find the full list, simply search "Vendor Catalog" in AdviceWorks!