DOL Fiduciary Rule Enforcement: How Massachusetts May Have Provided the Spark for a Massive Fire

On Thursday, February 15th, the state of Massachusetts charged Scottrade with dishonest and unethical conduct and a failure to supervise. This is believed to be the first known enforcement action under the Department of Labor’s fiduciary rule. Where this will end up, nobody knows, but it could be the spark that triggers a fire within …

Independent Marketing Review: GuideVine

The independent marketing program reviews are designed to provide an overview and general review of a financial marketing program that is available in the marketplace. Over the course of a year, I bet I receive 50+ inquiries from financial advisors asking me my thoughts about certain programs available. Your inbox is littered with these offers …

What’s Wrong with the Financial Advice Industry

The following article was an op-ed piece originally published in InvestmentNews. The political system in our country is broken.                Sadly, the financial advice industry is following suit. After a tumultuous, contentious election cycle, the United States is more divided than ever. This division is happening at a time where our country could arguably be at …

8 Ways Financial Advisors Can Improve Direct Mail Marketing

The following blog post was originally published in Investopedia: When considering the marketing and advertising options available, many financial advisors are ignoring traditional direct mail in favor of using email or other digital communication tools to connect with potential clients. Direct mail is making a powerful comeback for those that are trying to deliver a …