Marketing Compliance for Financial Advisors

Thank you for visiting our booth at the Ed Slott Elite IRA Advisor Group Workshop!

The deadline to be complaint with the new SEC marketing rule is November 4^th, 2022.

One of the best ways to ensure you don’t break any rules is to involve compliance in your workflow’s review process.

But that’s not always a possibility.

So, our VP of Marketing, Matt Seitz worked with our in-house compliance department to put together a best practice guide to maintaining compliance with your marketing and advertising, so you don’t incur any steep penalty fees.

Download your FREE copy today!

About Matt Seitz:

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.