How Independent Advisors Tackle Marketing and Compliance (Video)

Marketing and compliance can feel like obstacles to those thinking about going independent. Here’s how several financial advisors tackled these issues as they built and expanded their businesses. Marketing their services was especially challenging during the pandemic, which ended face-to-face engagements, but the panelists took advantage of the situation to retool their websites and add features such as video to ensure they could still deliver a personal touch.

Disclaimer: Financial Professional Use Only

The experiences discussed are specific to those associates listed and may not be representative of the experience of other associates. Investment products and services are offered through Wells Faro Advisors Financial Network, LLC (WFAFN), Member SIPC, registered broker-dealer and non-bank affiliate of Wells Fargo & Company. WFAFN uses the trade name Wells Fargo Advisors. Any other referenced entity is a separate entity from WFAFN.