Learner Complaint and Feedback Procedure

Version: gulfstream-ce-learner-complaints-2026-10-15-v1 · Provider: Gulfstream Capital LLC

We want every IAR continuing education course to be accurate, fair and easy to complete. If something went wrong, please tell us. Raising a concern never affects your score, your credit or your access.

1. How to raise a complaint

Email info@gulfstreamcapital.net with the subject line “CE Complaint”. Please include your name, the course number and title, a short description of the problem and the outcome you are looking for. Do not send passwords, full account numbers or client information.

Complaints may cover course content or accuracy, bias or product promotion, the assessment, the platform, completion notices, credit reporting, billing or anything else about your experience.

2. What happens next

  1. Acknowledgment. We confirm receipt within 10 business days.
  2. Review. The CE program owner, Andrew Huck, reviews the complaint and the relevant course and enrollment records.
  3. Response. We send a written response with our findings and any remedy within 30 calendar days of receipt. If we need more time, we will tell you why and when to expect an answer.
  4. Remedy. Depending on the issue, a remedy may include correcting course content, re-scoring a question that was found to be defective, re-issuing a completion notice, correcting and resubmitting a credit-reporting record, or a refund where the Student Terms provide one.

These response times are Gulfstream’s own commitments. Neither NASAA nor FINRA sets a maximum response time for providers handling learner complaints.

3. Credit and transcript issues

We report course completions to FINRA, NASAA’s vendor, within 30 calendar days of completion. Your IAR CE requirement is not complete until the course appears on your IAR CE transcript in FinPro. If a completed course has not appeared after 30 days, or your name or CRD number appears incorrectly, please contact us using the steps above so we can correct and resubmit the record.

4. If you are not satisfied

If you believe a course or provider does not meet the requirements of the NASAA IAR CE Program, you may also contact NASAA’s IAR CE program at IARCE@nasaa.org, 750 First Street NE, Suite 990, Washington, DC 20002, 202-737-0900.

5. Records and improvement

We keep a log of every complaint, our response and any remedy with the course records for at least five years. We review complaints and course evaluations to decide whether a course needs to be corrected or updated.

Support

info@gulfstreamcapital.net
Monday–Friday, 9:00 a.m.–noon Eastern Time (America/New_York)

NASAA does not endorse any particular provider of IAR CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.