More than 80% of consumers want to read reviews before choosing a financial advisor—yet less than 10% of advisors are currently using client testimonials in their marketing. With the SEC Marketing Rule in effect since 2021—and its adoption by the Florida Office of Financial Regulation in 2023—Florida-based Registered Investment Advisors (RIAs), whether state- or federally registered, now have a powerful opportunity to leverage testimonials compliantly.
Join us for an insightful session that will guide Florida financial advisors through the steps needed to create a compliant and effective testimonial marketing strategy. You’ll discover how to build trust with prospective clients, drive business growth, and remain aligned with current regulatory guidelines.
What You'll Learn:
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Why online reviews matter based on real-world data in other trust-based professions (e.g., lawyers/doctors)
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Understanding key provisions of the SEC Marketing Rule and what they mean for your compliance strategy
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Explore the benefits and regulatory risks of using advisor websites and/or reputable online review
platforms to collect and promote testimonials.
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Gain practical and
proven ideas for tactfully collecting and thoughtfully promoting testimonials
to compliantly grow your business
A live Q&A session will follow the presentation to address your specific questions and challenges. You'll walk away with the confidence and tools to launch or enhance your own compliant testimonial program.
Continuing Education
Application for continuing education has been filed with CFP Board.