You understand the risks involved with running a successful insurance practice. And one of the key risks you face is the advertising you use to promote yourself and attract new clients. It’s highly visible, and it’s in writing, memorialized for regulators and litigation attorneys to potentially use against you. With so many regulations (which can even vary by...
As today’s investors continue to seek independent advice, RIA firms are growing and thriving. In fact, according to Schwab’s 2016 RIA Benchmarking study, most firms reported adding between 28-50% more clients over the past five years. So, if you’re looking to expand your practice into the advisory world, the timing couldn’t be better!
After working with independent insurance producers, carriers, and state insurance regulators for decades, I’ve found 3 compliance hot buttons that continue to trip up even the best producers.
- September 21, 2018