Financial Advisors Want To Know Podcast
Welcome to the Financial Advisors Want to Know Podcast Hosted by Catherine Tindall, CPA.
Each short episode is a targeted topic for advisors looking to scale intelligently, save taxes, and build their practice to 7-8 figures the right way the first time. Join Catherine and the experts she brings on as you grow and scale your practice.
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Financial Advisors Want To Know Podcast
Ep 51: How to Navigate SEC Marketing Rules and Avoid Violations
Financial Advisors Want to Know: How to Navigate SEC Marketing Rules and Avoid Violations - Ep 51 Brian Thorp
Welcome to the Financial Advisors Want to Know Podcast, I’m Catherine Tindall a CPA with Dominion where our focus is helping financial advisors navigate income tax planning and compliance for their firms.
Brian Thorp is the founder and CEO of Wealthtender and was recognized by [WealthManagement.com](http://wealthmanagement.com/) as one of its top 10 innovators and influencers set to change the wealth management industry in 2024.
Wealthtender is the first financial review platform designed to help hundreds of financial advisors with impactful benefits to rank higher in search engines, build authority online, and accelerate the growth of their business.
Podcast takeaways:
Navigating SEC Marketing Rules: The SEC's enforcement actions highlight the importance of compliance with marketing rules, especially around testimonials, third-party ratings, and disclosures.
Avoiding Common Compliance Pitfalls: Advisors must ensure testimonials and accolades on websites include proper disclosures, like dates, criteria, and whether compensation was involved.
The Importance of Policies and Procedures: To compliantly use testimonials, advisors need policies in place, update their Form ADV, and ensure all clients are invited to provide feedback to avoid cherry-picking.
Leveraging Reviews for Growth: Compliant reviews and testimonials not only build trust with prospects but also improve SEO, helping advisors rank higher on search engines like Google.
Practical Compliance Tips: Advisors can gamify review and disclosure checks among their teams and use centralized platforms like WealthTender to streamline compliance and promotion efforts.
Connect with Brian:
https://www.linkedin.com/in/briancthorp/
https://wealthtender.com/grow/online-reviews-playbook-download-now/
Connect with Catherine:
https://www.linkedin.com/in/ctindallcpa/
Sign-up for our newsletter:
https://dominion-enterprise-services.kit.com/9944b047d9
Contact Catherine's Team:
admin@dominiones.com
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Looking for a more holistic relationship with your taxes? Book 15 minutes to have a coffee chat with Catherine to see if you could be doing more: https://calendly.com/ctindall/podcast-getting-to-know-you
Sign-up for our newsletter for the only tax update you’ll need to read and future episodes here and how to get in touch with Catherine: https://dominion-enterprise-services.ck.page/9944b047d9
Visit us at DominionEs.com
Connect with Catherine on LinkedIn
