Free Presentation - Download Recording: Compliance and Social Media for Financial Advisors

DID YOU MISS THE WEBINAR ON JULY 15, 2011?

MAXIMIZING YOUR ONLINE PRESENCE IN A SMART, COMPLIANT WAY

WEBINAR SPONSORED BY: 

FPA Fairfield CT, FPA Hudson Valley, Fairfield University, NAPFA, Securities America* and Impact Communications  

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SESSION DESCRIPTION: 

Having a good website is mandatory in today’s digital, online world. Multimedia such as podcasts, interactive graphics, and flash movie segments that combine music, narration, images and video clips can make your website come alive. Social media sites such as blogs, Twitter, Facebook, Ning and LinkedIn can help you connect in new, exciting ways with current and prospective clients. But creating or expanding an online presence that will grow your practice requires clear objectives and a plan that delivers on those objectives. This session will cover the fundamentals –  “and then some.”  

In this recorded one-hour webinar, you will:
 

• See colorful examples of what other advisors have done in the digital world
 

• Learn about Spider Marketing – and how that can help generate more traffic to your primary website
 

• Understand what the ROI is likely to be  
 

• See why it is more important than ever for you to embrace one or more of the social networking platforms
 

• Hear from a compliance expert on the do’s and don’ts related to social media use
 

• Get advice from a marketing expert on where to start if you’re late to the party
 

• Hear suggestions on what to do next if you’ve already dipped your toe into the water
 

In a nutshell, your instructors will cover:
 

• Best practices for creating a powerful online presence
 

• How to add multimedia to online sites
 

• When and how to add social media to your strategy  
 

• How to work most effectively with compliance
 

• What the FINRA guidelines say and how to protect yourself from regulator scrutiny
 

• The best and easiest ways to get started
 

• How to get help if you’d rather not do it alone

Your instructors: 

Marie Swift is President and CEO of Impact Communications, a full-service marketing communications firm serving a select group of independent financial advisors, industry thought-leaders and allied institutions. 

A regular contributor to industry publications such as MorningstarAdvisor, RIABiz.com, AdvisorOne, Research and Financial Planning magazines, industry expert David Drucker calls her a “PR consultant extraordinaire” and featured her firm in “Raising Perceptions,” an article published by Research magazine about the benefits of public relations and credibility marketing. Bob Veres says, “Marie is perhaps the best PR professional in our industry.”  

A popular speaker, Swift has spoken at numerous conferences within the financial services industry. She has received high ratings from participants at various venues including the NFL Players Association, TD Ameritrade, Pershing, Lockwood University, Charles Schwab, Securities America, Financial Network, the Financial Planning Association, the National Association of Personal Financial Advisors and the Garrett Planning Network. 

Swift uses Twitter (http://www.twitter.com/marieswift) and her Best Practices in the Financial Services Industry blog (http://www.marieswift.com) as well as LinkedIn, Ning, multi-media engagement tools and online newswire services to build relationships in the digital realm. 

Learn more about Marie Swift at http://www.impactcommunications.org.  

Leia Farmer is Deputy Chief Compliance Officer with Securities America, Inc., one of the largest independent broker/dealers in the nation.  Leia’s primary responsibilities are to oversee the RIA Compliance and Policies and Procedures teams within Securities America. 
 

During its National Conference in Orlando, Fla., in June 2011, Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter in mid-July. Leia was a part of the internal task force that analyzed and selected Securities America's social media compliance solution, and will participate in the social media / compliance training sessions provided by the firm in 2011.  

Under the Securities America program, advisors will need to get static content, such as a profile page or market commentary, pre-approved by the firm’s compliance department. But any communications that are interactive—accepting events, creating groups and posting Tweets and comments that respond to questions—will not require pre-approval before they go live. These types of communications will go through a review process after the content has gone up. 

Leia understands the FINRA guidelines as they pertain to registered representatives and social media use. She will share her insights with the webinar attendees on July 15th.
 

Prior to joining Securities America, Leia worked as the Chief Compliance Officer for Brecek &Young Advisors, Inc., a mid-sized broker/dealer that was acquired by Securities America in 2009. She was also a compliance analyst for E*Trade. In addition to over 11 years of industry experience, Leia has a bachelor’s degree from the University of California Berkeley in Legal Studies and a Master’s Degree in Organizational Management from the University of Phoenix. Leia holds the Series 7, 63, 24, 4, and 66 licenses.  

Learn more about Leia at http://www.securitiesamerica.com. Get practice management tips and learn more about building your online presence at http://www.AdvisorPod.com.  

*Securities America, Inc. is a Registered Broker/Dealer, Member FINRA/SIPC. Advisory services are offered through Securities America Advisors, Inc., a SEC Registered Advisory Firm.

Want to take a deeper dive? 

Attend the next Web 2.0 and Social Media Boot Camp!

 AS SEEN ON ADVISORTV
If you are interested in taking a deeper dive and/or building your online presence during a live, instructor- guided, computer-lab experience led by marketing expert Marie Swift, sign up now to attend one of these live boot camps:

SPONSORED BY FPA AND FAIRFIELD UNIVERSITY

Fairfield, CT - Saturday, September 24, 2011
Learn more at http://www.fpact.org

SPONSORED BY NAPFA

Brooklyn, NY - Monday, October 24, 2011 
Learn more at http://www.napfa.org  

See what FPA San Diego 2011 Task Force Chair Evelyn Zohlen has to say about the Web 2.0 and Social Media Boot Camp on AdvisorTV!

Fairfield University’s Dolan School of Business and the Financial Planning Association to host Web 2.0 boot camp

RESCHEDULED TO SATURDAY SEPTEMBER 24, 2011! IF YOU HAVE ALREADY REGISTERED FOR THE MAY BOOT CAMP WE WILL BE CONTACTING YOU SHORTLY.

FAIRFIELD, Conn., April 20, 2011 – An all-day workshop at Fairfield University’s Dolan School of Business on Tuesday, May 24, 2011, will serve as a crash course for professionals seeking to harness the power of blogs, LinkedIn, Facebook, Twitter, YouTube and other social media to grow their businesses.

“Web 2.0 and Social Media Boot Camp,” presented by Marie Swift, president and chief executive officer of Impact Communications (www.impactcommunications.org), is for small business owners and professionals – including financial planners, attorneys, accountants, physicians, dentists and interested others – who want to learn how to take advantage of the power of today’s online business building tools. The event is co-sponsored by the Financial Planning Association (FPA) of Connecticut-Fairfield County, the Financial Planning Association (FPA) of Greater Hudson Valley and Fairfield University.

Norm Solomon, dean of the Dolan School, said the day should be a productive workshop for time-challenged professionals who want to boost their business’s online presence. “This is where the Dolan School can serve as a classroom for the community,” he said. “People will be able to further their business goals while refreshing their technology skills. 

The morning module, “Maximizing Your Online Presence,” from 9 a.m. to 11:30 a.m., will be an interactive workshop for those ready to catch the social media wave. Social media tools such as blogs, Facebook, Twitter and LinkedIn can help business owners and sales professionals gain referrals, attract prospective clients, and connect in new ways with existing clients. But creating or expanding an online presence that will grow a business requires clear objectives and a plan that delivers on those objectives. This session will help attendees iron out such plans. The session will instruct on using blogs, Facebook, Twitter, YouTube, LinkedIn and online news release services to build buzz.

From 1 p.m. to 5 p.m., “Social Media Boot Camp” will put attendees through the paces of putting a social media plan into action. Described as “a roll-up-your-sleeves workshop,” the session will be a how-to on setting up your own Social Media Dashboard so that you can program Tweets, LinkedIn status updates and Facebook posts, all in one quick and easy process. Strategies will take into consideration that professionals have limited time and resources to spend on these efforts. 

Attendees will bring their own computers or can borrow one of the loaners that the Dolan School will provide. They will over the course of the afternoon they will actually:

• Build a blog
• Set up a Twitter account
• Record video clips
• Create audio files
• Upload the digital files to their blog
• Set up a social media dashboard
• Learn the art of cross promoting online

According to Swift, a regular contributor to industry publications such as MorningstarAdvisor, RIABiz.com, AdvisorOne.com, Research magazine and Financial Planning magazine, business professionals who fail to embrace social media strategies will be left behind., A popular speaker in the financial services industry, Swift has spoken at workshops for the NFL Players Association, TD Ameritrade, Charles Schwab, Securities America, the National Association of Personal Financial Planners (NAPFA), the Financial Planning Association (FPA) and Financial Network, among many others.

Registration prior to May 4, 2011, is $130 for FPA members for both sessions, and $170 for non-members for both sessions. After May 4, the fees go up to $160 and $205 respectively. While both the morning and the afternoon sessions are designed to compliment one another, registration is allowed for just one session, so the cost will be less, depending on which session is selected. Attendees may bring their own laptop and tap into the university’s Wi-Fi connection or use one of the PCs in the computer lab at the Dolan School. To register, contact event administrator Lori Somerville at 877-777-0600 or fairfield@fpact.org. More information is available at www.fpact.org. Space is limited. 

Media Contacts: 

Dolan School
Meg McCaffrey, 203-254-4000, ext. 2726

Financial Planning Association
Lori Somerville, 877-777-0600 or fairfield@fpact.org

Impact Communications
Al Martin, 800-974-7753 or impactmediamanager@impactcommunications.org

Marie Swift on the Future of Social Media at FPA Denver 2010

FTL asked Marie Swift, President and CEO of Impact Communications, to discuss the future of social media in independent broker dealers and wirehouses in this FTL report. The Investius film crew spoke with Swift at the FPA 2010 annual conference in Denver this October where she led workshops on getting started with social media for financial advisors.

Marie Swift on the Value of Social Media for Financial Advisors at FPA Denver 2010

Marie Swift, President and CEO of Impact Communications, shares her insights on the value of social media for financial advisors in this FTL report. The Investius film crew spoke with Swift at the FPA 2010 annual conference in Denver this October where she led workshops on getting started with social media for financial advisors.

Marie Swift on Success With Social Media at FPA Denver 2010

The 12/15/10 Financial Thought Leaders report takes another look at social media for financial advisors. The Investius film crew spoke with Marie Swift, President of the financial advisor PR firm, Impact Communications, at the FPA 2010 Annual Conference in Denver this October. There Swift led social media workshops and shared with us one financial advisor's success using social media. For more FTL videos, see the Financial Thought Leaders page. To view the Kids Finance Coach blog and learn more about top financial advisor Brett Ellen, go go www.kidsfinancecoach.com.

AdvisorTV Film Crew Surprises Web 2.0 and Social Media Boot Camp Instructors, Participants

When Marie Swift and the other Web 2.0 and Social Media Boot Camp instructors and participants arrived on October 9, 2010 for a special pre-conference workshop right before the main FPA Denver 2010 conference, they did not expect to find a television crew waiting for them.    

Financial Planning magazine decided to hire a film crew to document the 3/4 day-long event. For an inside look at some of what happened at the boot camp, watch this 5 minute AdvisorTV clip:

 Web 2.0 and Social Media Boot Camp Aims 

to Shape Up Advisors Online

 

Watch Video Clip Now

What you do online may help beef up your bottom line. In an effort to beef up their online presence, many advisors are turning to social media. But can this help your business? Financial Planning magazine's AdvisorTV film crew reports.

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