Overview
Team Progress Reporting gives the person responsible for CE at your firm a view of how far each adviser has actually got — percent completed, when they started, when they finished, and when they last signed in — plus a CSV export for your compliance file.
It is available to teams that have purchased 5 or more seats, at no extra charge, and is set up on request. This article explains what the report shows, how to request it, who should have access, and how it differs from the Seat Manager dashboard you already have.
If you are looking for how to buy seats or share the sign-up link, see Group Orders and Seat Managers.
Who This Is For
Compliance officers and CCOs evidencing IAR CE completion at the firm level
Office managers and operations staff responsible for getting the team through CE before December 31
Outside compliance consultants engaged by the firm
What the Report Shows
For each adviser on your team who has claimed a seat and enrolled:
Field | What it tells you |
Student first name, last name, email | Who the record belongs to |
% Completed | Lessons the adviser has marked complete — the number that matters, because a course only finishes when every lesson is complete |
% Viewed | Lessons the adviser has opened, whether or not they marked them complete |
Started At | When they first opened the course |
Completed At | The date they reached 100% completion |
Last Sign In | When they last logged in — this is what separates "stalled" from "never started" |
Course Name | Which course the row refers to |
Enrollment status | Whether the enrollment is active or expired |
You can view this on screen or export it to CSV at any time. The CSV also includes the enrollment expiry date.
What it does not include: the report shows completion data, not certificates. A certificate of completion lives in each adviser's own account and must be downloaded by them — see How To Access And Download Your Course Certificates. For most firm purposes the completion date in the report is sufficient evidence, but if you need the certificate itself, ask the adviser for it.
How to Request It
Email [email protected] with:
Your order number (for example, ORD0009142)
The name and email address of the person who should have reporting access
We will set your team up and confirm by email when reporting is available.
If you are the buyer, reporting access is added to the account you already use to manage your seats — you will not have a second login. Sign in as usual and the progress reports appear in your dashboard.
If reporting should go to someone else — a compliance officer who did not place the order, or an outside consultant — name them in your email and we will set them up. They will need an Adviser CE account; we will create one if they do not have one already.
Reporting Access Is Read-Only
Whoever holds reporting access can view and export progress. They cannot:
Enroll or unenroll learners
Buy seats or see billing information
Change any course content or settings
This is deliberate, and it is why reporting access is safe to give to an outside compliance consultant or an internal auditor. Enrollment and purchasing stay with the Seat Manager who bought the seats.
How This Differs From Your Seat Manager Dashboard
The two views answer different questions, and you will use both:
Seat Manager dashboard | Team progress report | |
Seats purchased, claimed, unclaimed | ✅ | — |
Who has not claimed a seat yet | ✅ | — |
Enroll / unenroll learners, buy more seats | ✅ | — |
Percent completed per course | — | ✅ |
Start and completion dates | — | ✅ |
CSV export for compliance files | — | ✅ |
The important consequence: the progress report only covers advisers who have claimed a seat and enrolled. Someone who was sent the sign-up link but never used it does not appear in the progress report at all — they appear in your Seat Manager dashboard as an unclaimed seat.
So when you are chasing people in the autumn, check both: the dashboard tells you who never started, and the report tells you who started and stalled.
Using the Report Through the Year
A pattern that works for most firms:
Q1 — buy seats, share the sign-up link, request reporting.
June — export the CSV. Anyone still at 0% has not begun.
September — export again and send a reminder to anyone below 50%.
Late October / early November — final chase. Remember completions are reported to FINRA within 3–5 business days and FINRA processes on its own timeline, so work finished in late December will very likely not appear on the adviser's record until January. The completion date is what counts for the requirement, but if you need records to show clean before year end, aim for late November.
After year end — keep a CSV export with your compliance records for the year.
Frequently Asked Questions
Is there an extra charge for team reporting? No. It is included for teams of 5 or more seats.
We bought fewer than 5 seats. Can we still get it? Team reporting is reserved for teams of 5+ seats. With a smaller team, your Seat Manager dashboard still shows who has claimed a seat and when they last signed in. If your circumstances are unusual, contact support and we will take a look.
How current is the report? Progress data reflects what learners have completed in the course player. If you have recently added advisers to the order, contact support to confirm your roster is fully synced before relying on the report as a complete picture of your team.
Can I get the report emailed to me on a schedule? Not at present. You can export the CSV yourself whenever you need it.
Does reporting access let me see certificates? No. Certificates are downloaded by each adviser from their own account. The report gives you the completion date, which is the underlying fact a certificate evidences.
An adviser left the firm. Will they still show in the report? Yes, historical completion data remains, which is usually what you want for a compliance record. Unenrolling someone removes their access to the course but does not free the seat for reuse.
Does this replace FINRA reporting? No. Adviser CE reports every completion to FINRA within 3–5 business days automatically, under the adviser's personal CRD number. The team report is for your own firm records — it does not change what is filed, and nothing here needs to be submitted by you.
Need Help?
For questions about team reporting, Group Orders, or seats, contact the Adviser CE support team at [email protected].