SureLC - How to use the Training Tab

Jim Friend -

This forum covers the following topics 

Training Tab

The Training tab within the producer profile has been redesigned. Additional information is now shown for FINRA registrations, completed AML training, continuing education, and professional designations. A history of AML and CE training is now shown in the Training Courses section.  AML & CE Training Course information can now also be automatically imported on behalf of the producer from popular providers such as WebCE, RegEd, LIMRA with more providers to be added in the future. Using this tab you can: 

1. Enter and/or update FINRA Information   

2. Review, Add, and Update Course Anti-Money Laundering (AML) Completion Information 

3. Update & Maintain AML & CE Training Course Information   

4. Confirm existing, Edit, and Add Producer Professional Designations

The new Training tab is comprised of the following 4 sections. Click on any section to learn more about that section below: 

Training_Full_Screen_5.png     FINRA AML TRAINING DESIGNATIONS    



The top pane is used to enter FINRA information for registered producers. If not FINRA registered click 'No'. If FINRA registered then select 'Yes'. SureLC automatically searches for the producer name on the BrokerCheck website. If a match is found then the CRD, Broker-Dealer, and other details will be automatically populated and the BrokerCheck report will be downloaded to the SCAN tab. If multiple matches are found then the correct producer name will need to be selected. To ensure greater search accuracy OR if no matches were found by name, enter the CRD # and click Load.


How to Setup FINRA Registration 

Step 1: If FINRA Registered click the ‘Yes’ radio button. If not click ‘No’. 


Step 2:
You can search for your FINRA registration by name by clicking on the “Search by Name” button. In the following example, a match was not found. 


Step 3:
If FINRA does not find a match you can alternatively search by CRD# using the field provided. To search by CRD #, enter the number and click “Load”. 


If a match is found you’ll be asked to confirm your identity. If this is you click “Confirm, it’s me”. If not and you entered the CRD # incorrectly click “Wrong CRD#” and you can re-enter the number and to search again. 


Step 4
: Once your identity has been confirmed a summary of your FINRA profile will be shown. The information shown is pulled directly from the FINRA BrokerCheck website. For more information click on any of the tiles below to which will open a web browser and direct you to your FINRA profile. 


For example, by clicking on “State Registrations” tile you can find out more details showing which states are registered. 

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This pane is used to add new and edit existing AML Training information. In some cases, completing an AML Training course within a certain time frame will be needed as part of the carrier's contracting request requirements. Agencies can choose to require AML for their producers, which will take precedence over the carrier's requirement. Also, please note that AML training information can also be automatically populated when agreeing to the terms and providing logon credentials in the Training Courses (section 3 below). This section explains how to manually add and edit existing training AML training information. 

How to Add New AML Training Course Information

Step 1:  Click "Add AML Training" to import AML training courses or to add courses manually.  


Step 2:
Enter the name of the Course Provider. Clicking into the search field will open the list of popular providers. If listed, choose the provider from the list.  If not, don't worry, just manually enter the name of the provider.   



Step 3: Next, choose to import provider courses or add manually. Import provider courses is selected by default. If you have logon credentials for the selected course provider (username & password) you can review and agree to the terms and then enter your username and password in the fields provided and SureLC will retrieve the training information for you. If you don't have it simply click "No Thanks" and/or "Add Manually" to enter the information yourself. 


Step 4:
 When not importing the information automatically, Add manually will be selected. Using this screen you'll need to upload a copy of your AML certificate and enter the requested information. Click on the cloud icon to upload a copy of your certificate.   


Once the certificate is successfully uploaded an auto preview pane will open to the right.  Review the certificate information to make sure it looks correct.  


Step 5:
  Next, enter the course name in the field provided. In some cases the course name may be found on the AML certificate. 


Step 6:
After entering the name of the course, the course id field will be shown. Enter the course id if you have it (this is optional). Next, enter the completion date and then review the information entered. If everything is verified click "Add" to update the AML table section. 


Step 7:
Once added, the dialog box will close and the AML training course information will now be shown in the course section.


Repeat steps 1-6 to add additional AML courses. 

Please Note: The trash can icon will only be shown for manually added AML courses. When AML course information is pulled directly from the provider (as shown in the Training Course section 3 below) this information cannot be edited or deleted. Contact SuranceBay technical support for help with this task if needed. 

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How to Edit Existing AML Training Course Information

Step 1: Select the “Edit AML Training”  button on the AML training row you want to modify. This will open the properties dialog box where the current information can be modified. 



Step 2: Using the Edit Training: AML section you can change the Course Name, Course ID and Completion date only. 



Step 3: Once you’ve made the desired changes to the AML information click the “Save” button to update the AML section with the new information.  In the following example, the name of the AML training course has been changed. Please note to change the provider name or AML certificate you must delete the training information row completely using the trashcan icon on the right and add it again with the new  information.  


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This section shows the history of the producer's AML and CE training courses over time. From here you can view past training information, configure SureLC to auto import your training details from popular AML training providers such as Limra, WebCE, Florida State, and RegEd. When information is imported it will automatically be added to the history table and if applicable to AML training section above. Once configured to use credentials for one of these providers SureLC will scan for changes periodically and update the table and AML information. 


How to Setup AML/CE Training providers to Import Training Data Automatically  

Step 1: Select the provider you want to have login to your profile and download training course information on your behalf. To do this you must provide your username & password and agree to the terms presented. The information retrieved will be used to update the Training Courses and if applicable AML training sections. Click on the desired provider to start this process. In the following example, WebCE will be used. 


Step 2:
Once the drop-down box has been expanded read the text provided and click the “I agree” radio button to continue.  


Step 3:
Enter your username and password and then click the “Retrieve training” button. 


Step 4:
After a successful login and retrieval of information a few things will happen. First, the following message will be shown. 


Next, you’ll notice that the Training Courses table has been updated with the information retrieved from the provider. Notice the source is set to the provider who provided the information. Manual entries from AML Training will show the source as “User Input”. 


Finally, if applicable the AML Training Course Completion section will be updated  but only if valid AML training information was found. In the following example two valid WebCE AML training courses were imported and automatically added. 


To add additional provider information repeat steps 1-4.   

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How to Add Additional Types of Training Completion  

Scroll down to the bottom of the training page to locate the desired section. From here Agency workers can review training information already provided by their agents when they want to sell certain products and additional training is required such as AHIP Medicare, Annuity State, LTC State, Best Interest, and Fed Marketplace training.  Agents can add this information to their SureLC profile using the CE & Training page or agencies can add this information to their profile on their behalf within the appropriate section. 

If you are assisting your producer by uploading proof of training completion review the steps below on how to add the training information to their profile.  

Please note that proof of training completion information MUST be added on the training tab and NOT on the Scan tab. 



Select the "Add Training" button, then choose the course provider. From there you can choose to import provider course info automatically or manually. Enter all the required information and upload the course certificate when adding manually. 



Select the state and then the "Add Training" button. Enter the course provider. From there you can choose to import provider course info automatically or manually. Enter all the required information and upload the course certificate when adding manually. 



Select the state and then the "Add Training" button. Enter the course provider. From there you can choose to import provider course info automatically or manually. Enter all the required information and upload the course certificate when adding manually. 



Select the state and then the "Add Training" button. Enter the course provider. From there you can choose to import provider course info automatically or manually. Enter all the required information and upload the course certificate when adding manually. 



Select the "Add Training" button, then choose the course provider. From there you can choose to import provider course info automatically or manually. Enter all the required information and upload the course certificate when adding manually. 




This section is used to confirm any professional designations found on the FINRA Broker Check website for your producer profile and to manually add, edit, and/or remove professional designations to or from your producer profile. Any professional designations that should be listed that are not can be added manually. Please note that in some cases carriers require the appropriate professional designations to be applied to their contracting paperwork if applicable. In most cases, this is rare and optional, but in a few rare cases, it is. 

Designation Confirmations

To confirm any professional designations found on the FINRA BrokerCheck site click either "Yes, It's me" if the record matches and it does not select "Reject". In the following example, the 1st record matches but the 2nd does not.  



How to Add a Professional Designation: 

Step 1: Click on the “Add Designation” button. 


Step 2
: Using the designation list select the designation type to add or search by keyword for the desired designation. Once selected enter the start date and end date.


Step 3:
Click “Add Designation” to update the Designation section with the new information. Note that the button will be activated after the start and end dates have been entered. Once added the new designation will be listed. 



At this point, the designation has been added. To add additional designations repeat steps 1-3. Once added to edit or remove a designation hover over the listed designation name with the mouse cursor and the edit/remove buttons will appear... Click the Edit button to make changes to the start/end dates or the - to remove. 



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Thank you for reviewing this information about the new training tab. If you have any additional questions, problems, or suggestions for improvement please contact SuranceBay technical support.




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