Who is responsible for retaining continuing education completion certificates for a broker?

The responsibility of retaining continuing education completion certificates falls on the individual broker. This is crucial because continuing education is an essential requirement for maintaining a broker’s license, and having proof of completion is necessary to demonstrate compliance with state regulations. Brokers need to ensure that they can provide these certificates if requested by regulatory agencies during audits or license renewal processes.

While the brokerage firm and the managing broker may keep records for their own internal purposes, the individual broker is ultimately accountable for their licensing requirements and must maintain their own documentation to avoid any issues with license renewal or compliance. The state regulatory agency does not retain these records for brokers; instead, they typically expect brokers to maintain their proof of education.