Webinars With Industry Experts

Compliance, Operations, And Marketing For Advisors Going Independent

The first session of the Advisors Going Independent Webinar Series took place on Wednesday October 14 at 4 p.m. Eastern Time.

Joining host Andrew Gluck for the webinar were two other experts in independent advisor operations and compliance.

 
Blane Warrene has 18 years of experience in broker/dealer and RIA technology and operations, focusing on investment and insurance systems integration, broker/dealer operations management, process design and implementation, and strategic planning.
 
Chris Winn has 16 years of industry experience with a focus on regulatory compliance. As managing principal and co-founder of AdvisorAssist, he has led compliance teams in design and implementation of programs pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940, Rule 38a-1 of the Investment Company Act of 1940, and other federal securities laws.
 
The webinar provided brokers guidance on challenges they must face when becoming independent financial advisors including:
  • Required books and records rules
  • The easiest ways to meet RIA compliance responsibilities
  • Key strategic operational decisions when starting a firm
  • Initial operational processes that should be established
  • Selecting practice management software and custodians
  • Communication systems for transitioning clients
  • Independent advisor marketing solutions to find new clients

Questions?

How and why does the Advisor Products system work?

In today’s times, when consumers have become more demanding and tech-savvy, financial advisors must use content marketing to attract, inspire, engage, and convert their prospective customers.

A good content strategy is focused on developing and distributing consistent, valuable content to engage and retain prospective customers and target audience, via your website. Our content library provides financial advisors with fresh, high-quality financial content that is updated regularly, improving SEO along the way. And our automated e-newsletter and social media tools allow advisors to reach out to clients and prospects in an easy-to-use manner, providing frequent touch points for optimal brand building.

  • Differentiate you from competitors
  • Expose clients and prospects to your brand message more frequently
  • Build an ongoing relationship with customers
  • Increase your follows and fans on social media
  • Drive more prospects to your website
  • Help convert prospects into leads
  • Increase number of pages indexed in Google
Please fill the required field.
Please fill the required field.
Please fill the required field.
Please fill the required field.
Please fill the required field.
Please fill the required field.
Please fill the required field.

Seeing is Believing.

See how easy it is to get started with our all-in-one digital marketing platform that drives leads, encourages referrals and increases client engagement.

 

SCHEDULE A DEMO