How to Survive Your Broker-Dealer Compliance Audit
INSIGHTS NEWS, ARTICLES AND FINANCIAL UPDATES If you are a financial advisor affiliated with an independent broker-dealer, you can likely expect to see an auditor every year. While each broker-dealer is different, compliance audits seek to keep advisors and their...
How to Respond to Questions or Concerns About Fees
INSIGHTS NEWS, ARTICLES AND FINANCIAL UPDATES When it comes to meeting with clients, there are three primary topics financial advisors should be confident about and well prepared to discuss. These include the value of your services, what differentiates you and your...
LinkedIn Success Tips for Financial Advisors
INSIGHTS NEWS, ARTICLES AND FINANCIAL UPDATES LinkedIn is a social networking site for professionals. It’s where we go to connect, find answers from others whose opinions we value, look for those who can help us fill an open position and when we are ready for a...
Modify Your Mindset and Market to Millennials
INSIGHTS NEWS, ARTICLES AND FINANCIAL UPDATES I know what you may be thinking, “Here’s another post about why I should be marketing to Millennials.” You are right; it is. Marketing to Millennials is important because the longevity of your business depends on your...
