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CAA

Certified Annuity Advisor (CAA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Financial Planning Institute
Qualification and Training Requirements
Prerequisites

Candidates must meet two of the following requirements: 

  1. have either a bachelor’s degree (or higher) in business, finance or economics or a minimum of two years of relevant industry experience;
  2. hold a state insurance license or a Series 6, 7, 24, 65 or 66 registration; and/or
  3. hold one of the following: 
    1. Chartered Financial Consultant (ChFC); 
    2. Chartered Life Underwriter (CLU); 
    3. Certified Financial Planner (CFP); 
    4. master’s degree in business, finance or economics; 
    5. attorney’s license (JD); or 
    6. Certified Public Accountant (CPA).
Designation Training Requirements

Online, self-paced training course
Designation Exam Type

Online, closed-book, proctored final certification exam
Continuing Education Requirements

Six credits annually
Verification and Complaints
Online Designation Resource

Online at CAA Lookup
Investor Complaint Process

Submit complaints online at File a Complaint
Published List of Disciplined Designees

None

2020065533402 Noble Capital Markets, Inc. CRD 15768 AWC lp (2025-1756426796809).pdf

Between September 2019 and January 2020, Noble failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with provisions of the federal securities laws related to the general solicitation of private placement offerings. Additionally, Noble failed to reasonably supervise a registered representative who, in connection with two private offerings, cold-called more than 40 prospective investors who did not have substantive relationships with the firm prior to its participation in the offerings.
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