Jul 20

7 Digital Advertising Tips for Financial Professionals

“The future of advertising is the Internet.” - Bill Gates

How true these words are. Today, it's virtually impossible to run a credible business without an internet presence. Consumers look to the Internet to educate themselves, to search for the products and services they need, and, – yes – sometimes to verify that your firm exists online and is trust-worthy. Any...

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Oct 26

I Have an RIA. Now What?

When producers learn I’m in the compliance profession, one of two things usually happen – they want to share their opinion with me on a compliance issue, or they have questions for me. The questions I receive vary depending on the regulatory environment at the time. A decade ago there were a lot of questions about annuity suitability. A year ago, it was all about...

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Sep 28

Starting an Independent RIA? Don't Forget to Consider Compliance

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!

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Sep 21

3 Key Compliance Hot Buttons – Take Note & Protect Yourself

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.

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Jun 08

Do You Have a “Get Out of Jail Free” Card?

In our industry, compliance is not an option; it’s a requirement. Financial professionals who violate compliance can find themselves being served with a fine or worse still, removed from the industry, no longer allowed to practice. Violate compliance, and you’ve pretty much selected our business’ equivalent of “Go directly to jail. Do not pass go. Do not collect...

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