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Marketing Checklist for Independent Financial Advisors

Marketing Checklist for Independent Financial Advisors

Being a financial advisor can be a rewarding career. But like any career, it has its challenges. The financial advisory industry is highly competitive and it can be difficult to acquire and retain business.

With this in mind, we have developed a marketing checklist designed specifically for independent financial advisors. This means you aren’t working for big bank (e.g. Morgan Stanley) or a large investment company (i.e. Edward Jones). Instead, you run (or are associated with) an independent financial advisory business that operates in conjunction with a broker/dealer.

This checklist assumes that your firm has been around for a few years and is not brand new. This means you have many happy clients, you have a somewhat established name, a website and a couple of employees. We are also assuming that you are either looking to expand your business or you want to reassess your marketing to help grow. Either way, you are looking for some expertise to point you in the right direction.

Important note: This article is only offering broad, general marketing ideas. Every financial advisor must comply with the rules and regulations of FINRA and the SEC. In addition, all financial advisors must comply with their own internal compliance guidelines. Compliance regulations prohibit financial advisors from soliciting orders online, giving investment advice, sharing articles which might appear like you are adopting the opinion of the article/author and more. Since every firm’s policies are different, you must first check with your compliance department and any affiliated broker-dealer/Registered Investment Advisor (RIA) before you begin your marketing.

Here you go:


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