We don’t just study the investment business. We practice it.
Continuing education should make us better investors, better fiduciaries and better advisers.
Gulfstream Capital operates in the real world of investment management. That perspective shapes Gulfstream Education.
Our courses are designed to connect professional standards with the situations advisers encounter: fiduciary obligations, conflicts of interest, portfolio construction, alternative investments, emerging technologies and client communications.
It matters to know what a rule says. It matters just as much to understand why.
At the leading edge
The industry is changing. Education should too.
New tools, products and expectations create opportunities and responsibilities. We seek to keep advisers informed while staying grounded in the fiduciary principles that sustain the advisory relationship.
01 / Technology
AI. Cybersecurity. New ways to communicate.
02 / Markets
Private markets. Digital assets. Alternative investments.
03 / Practice
Professional judgment. Changing regulatory responsibilities.
NASAA IAR continuing education
Continuing education for investment adviser representatives.
A framework for ongoing professional development.
The NASAA model-rule framework generally requires investment adviser representatives registered in adopting jurisdictions to complete 12 IAR CE credits each year.
The requirement follows the IAR’s registration, rather than simply the firm’s location. Start dates, individual circumstances and jurisdiction-specific rules matter. Confirm your requirements with your firm and regulator.
6Ethics & Professional Responsibility
+
6Products & Practice
Annual model-rule framework Subject to applicable jurisdictional requirements
IARs may choose approved courses from approved providers, subject to their firms’ guidance. Gulfstream’s objective is useful, substantive education that can support applicable requirements once approved. A new Gulfstream course label does not establish a new NASAA Course ID or eligibility for repeat credit.
4 courses are pending NASAA approval. Explore the prepared course previews below. Enrollment is not open.
Pending NASAA Approval — IAR CE Credit Is Not Guaranteed
Courses labeled Pending have not been approved by NASAA. Approval, Course IDs, final credit awards and availability will be announced only after confirmation. No approval date is promised.
Gulfstream 25.1Ethics and Professional Responsibility
Pending NASAA Approval — IAR CE Credit Is Not Guaranteed
Fiduciary Duty and Ethical Practice for Investment Adviser Representatives: 25.1
Explore fiduciary duties of care and loyalty, conflicts, disclosure, compensation, client relationships, ethical communications, cybersecurity and artificial intelligence through practical advisory situations.
Course details & learning objectives +
Preview based on the prepared learner manuscript. Titles, content areas and course details remain subject to review. The Gulfstream label is an internal reference, not a NASAA Course ID.
Course ID
Not announced
Proposed content area
Ethics and Professional Responsibility
IAR CE credits
Not approved
Planned complexity
Advanced
Estimated completion time
To be announced
Price
To be announced
Selected learning objectives
Explain fiduciary duties of care and loyalty and identify material conflicts of interest.
Evaluate disclosure, compensation, fees, advertising and marketing from an ethical and regulatory perspective.
Apply professional-conduct principles and ethical decision-making to client relationships, recommendations and emerging technology.
Self-study courses require successful completion of an assessment. Final enrollment terms and all required fees will be disclosed before enrollment.
Pending NASAA Approval — IAR CE Credit Is Not Guaranteed
Product Analysis and Portfolio Risk for Investment Adviser Representatives 25.2
Develop product and portfolio analysis before implementation, from objectives and constraints to equity structures, fixed income, costs, manager evidence, alternatives, complex products, diversification and liquidity.
Course details & learning objectives +
Preview based on the prepared learner manuscript. Titles, content areas and course details remain subject to review. The Gulfstream label is an internal reference, not a NASAA Course ID.
Course ID
Not announced
Proposed content area
Products and Practice
IAR CE credits
Not approved
Planned complexity
Advanced
Estimated completion time
To be announced
Price
To be announced
Selected learning objectives
Identify binding funding and loss-capacity constraints from a goal schedule and capital inventory.
Calculate required growth and distinguish a modeled result from a forecast.
Select feasible allocations and distinguish gross, net and real outcomes using stated assumptions.
Self-study courses require successful completion of an assessment. Final enrollment terms and all required fees will be disclosed before enrollment.
Gulfstream 26.1Ethics and Professional Responsibility
Pending NASAA Approval — IAR CE Credit Is Not Guaranteed
Ethical Governance and Client Protection for Investment Adviser Representatives: 26.1
Examine client protection when organizational incentives, divided authority and uncertain evidence complicate professional judgment. Hypothetical cases cover escalation, exploitation, boundaries, complaints, remediation and ethical supervision.
Course details & learning objectives +
Preview based on the prepared learner manuscript. Titles, content areas and course details remain subject to review. The Gulfstream label is an internal reference, not a NASAA Course ID.
Course ID
Not announced
Proposed content area
Ethics and Professional Responsibility
IAR CE credits
Not approved
Planned complexity
Advanced
Estimated completion time
To be announced
Price
To be announced
Selected learning objectives
Select accountable escalation and supervisory responses grounded in evidence and appropriate authority.
Evaluate contested instructions, possible exploitation and professional boundaries while preserving client participation.
Select fair investigation, communication and authorized remedies for complaints and established errors.
Self-study courses require successful completion of an assessment. Final enrollment terms and all required fees will be disclosed before enrollment.
Pending NASAA Approval — IAR CE Credit Is Not Guaranteed
Portfolio Implementation and Ongoing Practice for Investment Adviser Representatives: 26.2
Develop practical skills for implementing and maintaining a portfolio: transition planning, order controls, settlement, reconciliation, retirement transfers, tax lots, rebalancing, monitoring and operational disruptions.
Course details & learning objectives +
Preview based on the prepared learner manuscript. Titles, content areas and course details remain subject to review. The Gulfstream label is an internal reference, not a NASAA Course ID.
Course ID
Not announced
Proposed content area
Products and Practice
IAR CE credits
Not approved
Planned complexity
Intermediate
Estimated completion time
To be announced
Price
To be announced
Selected learning objectives
Sequence implementation while preserving ownership, authority, restrictions and cash needs.
Evaluate order conditions, settlement readiness and account reconciliation exceptions.
Apply source-scoped retirement, tax-lot, rebalancing and monitoring controls to hypothetical account records.
Self-study courses require successful completion of an assessment. Final enrollment terms and all required fees will be disclosed before enrollment.
Our two earlier courses expired in 2025. They are not offered in the current catalog and are not available for new enrollment or current CE credit. Contact Gulfstream about historical completion records.
NASAA does not endorse any particular provider of IAR CE courses. The content of the course and any views expressed are my/our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.
Gulfstream Education isn’t intended only for Gulfstream. We want to share what we learn.
We intend to make approved courses available to individual investment adviser representatives and to work with advisory firms seeking substantive professional education for their teams.
Tell us about your firm’s priorities, topics and timing. We can discuss the developing curriculum and what you need to know when approved courses become available.
Keep learning between courses. Start with these public, primary-source resources on continuing education, fiduciary responsibility and professional practice.
These are external educational resources, not Gulfstream courses or offers of IAR CE credit. Publication and effective dates matter; consult the current source and qualified counsel for legal questions.
Educational information only. Nothing on this page is individualized investment, legal or tax advice, a guarantee of investment results, or a determination of any individual’s CE eligibility. Course availability and approval status must be confirmed before enrollment.
