Our Blog
Dec
2
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Stuck for Your New Year’s Resolution as an Advisor? Let Us Help!
Are you making New Year’s resolutions this year? It feels good to have a fresh start on January 1, when you see the year spread...
Nov
18
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Office of Supervisory Jurisdiction: Key to Compliance and Oversight for Financial Professionals
Struggling to keep up with strict protocols for investment recommendations, client interactions, and constant compliance updates? It’s not uncommon for financial professionals to feel uncertain...
Nov
4
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Star-Bright You: How to Differentiate Yourself in a Crowded Market
When you market to potential clients, you’re trying to stand out in a crowded market of those selling the same products you’re selling. Investors have...
Oct
14
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How an OSJ Can Help You Prepare for an SEC Audit
As the owner of an independent financial advisory firm, you’re responsible for all aspects of your practice, including compliance, operations, marketing, and all other aspects...
Oct
7
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The Inside Scoop: “How I Manage My Own Money”
When you talk to clients, you are full of advice. After all, that’s what your clients are looking for from you. You’re the one with...
Sep
16
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Transform Your Financial Advisory Practice With the Help of an OSJ
Running your financial advisory practice has never been more challenging, even for the most experienced financial professionals. Given today’s increased compliance scrutiny, rapid technological advancements,...
Aug
12
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Is Your Advisory Firm Too Small for a Major Custodian? Consider an OSJ
When small financial advisors apply to use the services of a brand name custodian, they often face significant challenges, such as high asset thresholds and...
Aug
12
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8 Grammar Tips for Tripped- Up Financial Advisors
You’re a numbers person—it’s why your clients come to you. When it comes to finance, creating proposals, and understanding the markets, you’re creative and insightful,...
Jul
22
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Compliance Tasks Simplified With the Help of an OSJ
As financial professionals, you face a constant barrage of complex regulations. Staying compliant with these regulations can be a significant burden, consuming valuable time and...
Jul
8
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3 Steps to Getting Clients Motivated to Plan
One of the most challenging service items that financial professionals deal with may be trying to get existing clients to come in for financial planning...
Jun
24
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Quiz Yourself To See if Hiring an OSJ Makes Sense for Your Firm
Are you finding it time-consuming and increasingly difficult to maintain an efficient compliance process? Weak supervisory structures could leave your firm exposed. One solution that...
Jun
10
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Your Distinctiveness on Display
When you think of a brand with a good shopping experience, what comes to mind? It’s probably not just a place with a product you...
