Matt Seitz is the Executive Vice President of Marketing at C2P Enterprises. He was recently quoted in an article by Financial Advisor IQ on the new SEC marketing rule. It went into effect on May 4, 2021, and wealth professionals must comply by November 4, 2022.
It allows advisors to share positive reviews from clients and use third-party ratings and hypothetical performance. Updates like this take time and oversight that requires additional compliance revisions. This may take a toll on small teams.
This eBook will help you update any financial advisor client communications that would be considered advertisements and get ready to validate any statements of material fact included in your marketing materials. Rewrite your policies and procedures, especially those that govern client communication tools, social media use, digital marketing, and testimonials.
Regulations change quickly and often, so you must stay updated on marketing compliance.
- Devise a SMART Compliance Plan
- Follow the Rules
- Advise Don’t Suggest
- Keep Up with Compliance Trends
Matt Seitz is the EVP of Marketing at C2P Enterprises and is the Chief Marketing Officer for JL Smith, an independent retirement planning and wealth management firm. Matt also oversees the sales and events teams at C2P Enterprises. In his roles, he has streamlined the marketing-sales funnels, spearheaded the digital growth of the companies, reinforced the brand identities, and implemented content marketing strategies to drive leads into and through the sales pipelines.
Matt has over 15 years of marketing and sales experience in the professional services, financial services, and accounting industries. His professional philosophy is grounded in relationship marketing – focusing on customer service and satisfaction through data-driven marketing plans with clear ROI.
Matt earned his Bachelor of Arts in Business Administration degrees in marketing, management, and human resources from Baldwin Wallace University. He has received industry recognition for content marketing, video marketing, and lead generation campaigns. He is an author and speaker on a variety of marketing and business development topics. Matt is a member of the American Marketing Association and former chairperson of the Association for Accounting Marketing’s Growth Strategies Committee.
About C2P Enterprises
C2P Enterprises consists of four individual companies that share one vision: improving the lives of American families through holistic financial planning. Prosperity Capital Advisors is an SEC Registered Investment Adviser (RIA) that provides financial planning and holistic wealth management solutions to investment advisors and clients nationwide. Valor Capital Management is an SEC Registered Investment Adviser operating as a portfolio strategist and turnkey asset management program. Clarity Insurance Marketing is a best interest-focused insurance marketing organization that facilitates product screening, selection, and support for all lines of fixed insurance products. Clarity 2 Prosperity is a financial training, coaching, and IP development organization committed to simplifying financial planning for financial advisors while helping them understand best practices for integrating investment and insurance solutions in a single, holistic plan. Collectively, these organizations provide advisors the training, resources, products, and tools to successfully grow their independent advisory firm while serving in the best interest of each of their clients.