Social Media Marketing Compliance Tips for Financial Advisors

social media marketing compliance tips for financial advisors

As financial professionals, we all know that we need to have an online presence to thrive and exist in today’s world. However, due to all of the ever-changing compliance rules that we are blessed with, we must be incredibly smart about what we post on our websites, our videos, social media sites, etc.

Last week I came across a registered advisor in Utah who was recently busted (and fined $75,000) for some of his radio, digital, and social media content. Although I do not know this advisor, and I am not sure exactly what was in his content as I can only imagine it has all been taken down, we can still learn something from him.

Here are the main reasons that he was fined and suspended according to the article:

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5 Ways Financial Advisors Can Get More Referrals

best ways financial advisors can get more referrals

A popular response to this is: “Why aren’t I getting referrals?”

The short answer is that you are most likely using networking strategies or salesman techniques that just don’t work. This is completely understandable. Its what we observe over and over again.

For example, you go to a meeting with a networking opportunity. What do you do? Typically you give your 30-second “commercial” and you exchange business cards, right? I mean that is what we are taught to do.

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Best Email Autoresponders for Financial Advisors

best autoresponders for financial advisors

It’s one thing to generate leads from your website, but it’s an entirely different sequence of events to be able to nurture, build a relationship, and eventually get an Internet lead to raise their hand and ask for an appointment. But the great news is that with one of these top email autoresponders for financial advisors below, your entire email follow up sequence can be done without you ever having to lift a finger.

In fact, the very best email autoresponders for financial advisors will almost act like your own personal assistant…constantly following up with and nurturing every single lead, prospect, and client in your database.

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13 Reasons To NEVER Buy An Email List

buying email lists for financial advisors

Does it ever make sense to be buying email lists for Financial Advisors?

I get it, you need more qualified prospects to add into your email list. You would like to have more prospects raising their hand after receiving your email every week, however, the price of an email list comes with some big risks if you decide to take this email marketing shortcut…

Let me explain.

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A Proven Referral Marketing System for Financial Advisors

referral marketing for financial advisors

Is Your Financial Practice Leaking Profits?

Drrrrrip…Drrrrrip…Drrrrrip… Drip, drip, drip!

My friend first noticed his leak one day during a heavy rain storm.

He called the roofer and found some damage. But after replacing the damage, the leak returned.

Whether you want to admit it or not, your practice has some leaks as well…

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Should You BUY Social Media Fans, Friends, Likes, or Followers?

BUY Social Media Fans, Friends, Likes, or Followers

“I got friends in low places…”

Ever since social media exploded a decade ago, there have been countless amounts of software developers, app developers, web guru’s, coders, and even hackers taking their shots at capitalizing on the vast amount of people using social media networks. The vast majority of the software, apps, and interfaces are excellent, and truly add value to the overall experience.

However, there is a small percentage of apps and “shortcuts” that can actually hurt you, your image, and destroy trust.

Should you buy social media fans, friends, likes, or followers?

Here is just a small sampling of the things that I have seen for sale recently in regards to “buying friends” on your social media networks.

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Financial Advisor Marketing: Secret Sauce Transparency Marketing


Warning: This video might force you to rethink everything you thought that you knew about marketing…

I came across this guy Marcus Sheridan in the foreword of one of my favorite marketing books of 2014 called “Youtility – Why Smart Marketing is about Help, not Hype.” His company story is not only amazing, it is amazingly simple, as any of you can implement this as your own personal financial advisor marketing game-changing platform.

Moreover, I have yet to come across a message like this that reinforces everything that Luke and I have been teaching you about transparent, content driven marketing for financial advisors. And this 12 minute power-packed message proves that it can be life changing for you and your practice if implemented.

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Financial Advisor Blogging Tips


To blog, or not to blog…

Out of all of the organic, content driven Internet Marketing pieces of the puzzle, the one that you can’t really live without if you have any intention of mastering online marketing is blogging. And that is why we put together this powerful video called Financial Advisor Blogging Tips.

The best analogy that I can think of to show you the importance of blogging is to compare it to your house. Could you ever imagine buying a home for you and your family that didn’t have a kitchen?

Yes, the home would still work in terms of shelter and a place to lay your head, but without a kitchen you would have to eat out every single meal. There would be no family unity, there would be no conversations around the kitchen table, and it would certainly be hard to ever have friends over.

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