Executive Vice President of Marketing at C2P Enterprises, Matt Seitz, was recently quoted in an article by Barron’s regarding the new SEC marketing rule which went into full effect November 4th, 2022.
Over 3/4 of compliance staff at registered investment advisor firms said the new SEC marketing rule is the hottest topic of the year.
Matt describes the collaborative process of working with Chief Compliance Officer Ryan Warner, CFP®, to identify which elements of the new SEC marketing rule to focus on, like updating the compliance training processes.
Before these new regulations, you could not utilize first-hand accounts from satisfied customers. But that has all changed! Now you can use testimonials to maximize your marketing efforts.
Barron’s quoted Matt, saying:
“We plan to incorporate testimonials and endorsements into our existing campaigns to help illustrate our value proposition and strengthen our brand. The powerful part of the new marketing rule is it allows us to let our clients and partners help tell our story. I also see third-party ratings coming in handy for recruiting new advisors and staff members to our team. People want to know they are joining a strong company with a loyal client base.”
Recently, Matt and Ryan co-hosted a seminar to share their knowledge with other advisors to prepare for the change.
Watch the replay to learn about:
- Disclosures needed for compliance
- Pros and cons of the new marketing rule
- Selecting and soliciting client recommendations
- What to consider when implementing testimonials in your marketing
ABOUT MATT SEITZ
Matt Seitz is the Executive VP of Marketing at C2P Enterprises; and CMO for JL Smith, an independent retirement planning and wealth management firm. In his role, Matt has spearheaded the digital growth of the company, reinforced branding, and implemented content marketing strategies to drive leads into the sales funnel.
Matt has over 15 years of marketing and sales experience in the professional services and financial services industries, as well as accounting, insurance, and construction. He has degrees in marketing, management, and human resources. His professional philosophy is grounded in relationship marketing—focusing on customer service and satisfaction through data-driven marketing plans with clear ROI.
Matt’s areas of expertise include strategic planning, digital marketing, lead generation, and content marketing, receiving 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.
ABOUT RYAN WARNER
Ryan Warner, CFP®, is the Chief Compliance Officer for C2P Enterprises. He is responsible for handling supervision and compliance matters for the investment advisory business.
He has more than twenty years of industry experience. Before joining C2P Enterprises, he was a Senior Firm Compliance Consultant for MassMutual and MetLife Financial Services. Ryan also served as Agency Training Director and as a Financial Advisor with MetLife before entering his compliance role. He holds a bachelor’s degree in finance from the Carlson School of Management at the University of Minnesota.
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.