Advisor Testimonial Regulations —A.U.M.™ LIVE

Advisor Testimonial Regulations —A.U.M.™ LIVE

Navigating the complexities of marketing regulations is a critical challenge for financial advisors, especially in light of the SEC’s updated marketing rules introduced in 2022. These new regulations have opened the door for advisors to use testimonials, endorsements, and other client feedback in their marketing strategies—an opportunity that was previously off-limits. But with this new freedom comes a host of legal considerations. In the latest episode of Kalli Collective’s A.U.M. - Ask Us Marketing™ live stream, sponsored by the Financial Planning Association (FPA), we sit down with legal expert Andrew Shedlock, J.D., from Kutak Rock, to discuss what these changes mean for your practice and how to leverage them without running afoul of FINRA or the SEC.

Andrew brings his extensive experience in securities law to the conversation, offering clear and actionable advice on how advisors can confidently incorporate testimonials into their marketing while staying compliant. He breaks down the legal nuances of the 2022 SEC updates, providing practical tips on what you can and cannot do when it comes to client endorsements. Whether you’re considering using testimonials for the first time or looking to refine your approach in light of the new rules, this episode is a must-watch. Join us to get the expert insights you need to market your advisory practice effectively and legally.

Episoder(77)

Live Advisor Website Review —A.U.M.™ LIVE for financial advisors

Live Advisor Website Review —A.U.M.™ LIVE for financial advisors

Get ready for some on-the-spot marketing magic! What makes a website work for financial advisors? Find out in this live, rapid-fire audit session with Kalli Fedusenko as she hosts and leads “Live! Web...

19 Mai 202555min

Attract Ideal Clients Through Webinars —A.U.M.™ LIVE for financial advisors

Attract Ideal Clients Through Webinars —A.U.M.™ LIVE for financial advisors

Webinars can do more than educate—they can generate leads from your exact niche. Join Kalli Fedusenko and Elizabeth Reider from Indigo Marketing Agency for a tactical session on “Attract Ideal Clients...

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How Advisors Can Win Sales With Writing —A.U.M.™ LIVE for financial advisors

How Advisors Can Win Sales With Writing —A.U.M.™ LIVE for financial advisors

Words sell—when they're the right ones. Join Kalli Fedusenko and Derek Pollard for "Win Sales with Writing", a powerful session on how to craft compelling copy that connects, converts, and builds long...

28 Apr 202537min

How Advisors Can Sound Like a Pro: Using Voice to Strengthen Your Brand —A.U.M.™ LIVE for financial advisors

How Advisors Can Sound Like a Pro: Using Voice to Strengthen Your Brand —A.U.M.™ LIVE for financial advisors

Your voice is more than just sound—it’s your brand’s first impression. Join Kalli Fedusenko and Jodi Krangle of VoiceOversAndVocals.com for a fascinating session on “Sound Like a Pro: Using Voice to S...

21 Apr 202535min

What's Working in Q1 2025 —A.U.M.™ LIVE for financial advisors

What's Working in Q1 2025 —A.U.M.™ LIVE for financial advisors

Your audience has changed—has your marketing kept up? Join Kalli Fedusenko and Jess Flynn from Intention.ly for a forward-looking, data-backed session on “What’s Working in Q1 2025.”From client engage...

14 Apr 202538min

How to Light Your Videos —A.U.M.™ LIVE for financial advisors

How to Light Your Videos —A.U.M.™ LIVE for financial advisors

Lighting can make or break your video content, and no one knows this better than Michelob Fedusenko. As a professional grip with experience working on Hallmark movies, music videos, and commercials fo...

31 Mar 202529min

Network Like a Human, Not a Salesy Weirdo —A.U.M.™ LIVE for financial advisors

Network Like a Human, Not a Salesy Weirdo —A.U.M.™ LIVE for financial advisors

Networking doesn’t have to be awkward or uncomfortable. Join Kalli Fedusenko and Melissa from PowerfulWomenRising.com for an empowering session on "How to Network Like a Human, Not a Salesy Weirdo."He...

24 Mar 202531min

Website Terms Every Financial Planner Needs to Know —A.U.M.™ LIVE for financial advisors

Website Terms Every Financial Planner Needs to Know —A.U.M.™ LIVE for financial advisors

In this episode of A.U.M. - Ask Us Marketing™, Kalli Fedusenko is breaking down the essential website-related terms every financial planner needs to know. Whether you’re dealing with IT providers, upd...

17 Mar 202520min

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