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Financial Advisor
March 2010
Joel P. Bruckenstein |
Beware The Pitfalls The advantages of social media for advisors are being trumpeted loudly, but the risks are heard less.   |
Financial Advisor
March 2012
Gail Liberman |
Social Media Hurdles Some advisors are using social media for marketing, but many haven't spent much time using it because of compliance issues. |
Financial Planning
July 1, 2011
Donna Mitchell |
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value. |
Registered Rep.
March 3, 2010
Kristen French |
New Social Networking Site Targets FAs LinkedFA is a new website is trying to cash in on the social networking craze and resolve some of the thorny regulatory questions that social networking sites raise for financial advisors. |
Bank Technology News
March 2010
Michael Sisk |
How to Stay Online and Inbounds Combine the fast, freewheeling world of social networking sites with the conservative, highly regulated world of financial advice and the reconciliation is bound to awkward. |
Financial Advisor
July 2010
Andrew Gluck |
A New Era With broker-dealers now starting to embrace social media, advisors have many more ways to market their firms. |
Financial Advisor
January 2012
Brian Hamburger |
Who Will Start The Revolution? Big firms give "Big Brother" nod to social media. |
On Wall Street
May 1, 2010
Gerri Leder |
Keeping In Touch And Getting New Business With Social Media Personal use of Facebook and business use of LinkedIn are converging, sometimes leading to new business and sometimes just rekindling relationships with acquaintances who might otherwise be lost. |
On Wall Street
March 1, 2010
Mark Astarita |
Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites. |
Investment Advisor
April 21, 2011
John Sullivan |
Commonwealth Financial to Allow Rep Access to Social Media Beginning in early June of 2011, it would allow its advisors to use social media, including Facebook, Twitter, LinkedIn and blogs. |
Financial Planning
December 1, 2009
Chris Hall |
Socially Adept Participation in social media -- LinkedIn, Facebook, Ning, Groupsite, Twitter, blogs, YouTube -- is now a workplace reality. |
Registered Rep.
September 19, 2011
Diana Britton |
More Advisors Using, Prioritizing Social Media, Survey Says Not only are more advisors using social media for business purposes, but more are making it a priority. |
Registered Rep.
May 2, 2011
Kristen French |
Raymond James, Commonwealth to Give FAs Free Reign on Social Media In other words, they will be able to post tweets, updates and comments that have not been pre-approved in real time. |
Bank Technology News
May 2011
Clara Shih |
5-Step Social Media Plan With more than 800 million active users across Facebook, LinkedIn, and Twitter, social media cannot be ignored. Financial institutions must adapt or face mass customer migration. |
Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. |
Investment Advisor
June 10, 2011
Janet Levaux |
BDs Beware: Banning Facebook Is Bad Policy, Says Socialware's Chad Bockius Socialware CEO says that prohibiting use of Facebook, Twitter and LinkedIn might lead to financial advisors switching firms. |
Financial Advisor
March 2012
David Lawrence |
Creating A Social Media Policy Financial advisors are wise to embrace the new communication medium. But, there are a number of issues to be addressed as they embark on a communications strategy. |
Registered Rep.
March 29, 2012
Jerry Gleeson |
Social Media Works, Advisors Say Social media is gaining momentum with financial advisors, new research by Registered Rep. and wealthmanagement.com shows. |
Financial Advisor
March 2012
Mike Byrnes |
Massachusetts Addresses Social Media Regulation Results from a July 2011 survey by the Massachusetts Securities Division found a significant growth trend in advisors using social media, but also found compliance deficiencies in existing social media regulations. |
InternetNews
August 17, 2010 |
FaceTime Service Locks Down Social Nets The enterprise security firm unveils a new SaaS offering for helping enterprises manage employees' use of Facebook, Twitter and similar services. |
Financial Advisor
July 2011
David Lawrence |
Learning To Socialize Integrating social media into your advisory practice takes careful evaluation to get the most from what it has to offer. |
Registered Rep.
December 16, 2011
Diana Britton |
Social Media Archiver Erado to Expand Globally Erado, which provides social media compliance and archiving software for broker/dealers, plans to expand its operations into Western Europe, Canada and possibly Japan next year, and expects to add at least 30 new employees in 2012. |
Registered Rep.
June 16, 2011
Diana Britton |
Securities America Jumps on the Social Media Bandwagon Independent broker/dealer 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. |
Registered Rep.
September 7, 2011
Diana Britton |
Seven B/Ds Sign on With Erado for Interactive Social Media Use The partnerships will allow these firms' reps to post interactive content to Facebook, Twitter, and LinkedIn without pre-approval by their compliance departments. |
Registered Rep.
October 19, 2011
Diana Britton |
Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages. |
Bank Director
2nd Quarter 2011
Naomi Snyder |
Social Anxiety Banks have been wary of the social media revolution. Their customers are giving them little choice but to embrace the cacophonic world of tweets, blogs and Facebook. |
Financial Advisor
June 2009
Andrew Gluck |
Social Networking And Advisors Advisors are barely scratching the surface in their use of social networking. |
Registered Rep.
March 13, 2012
Lauren Barack |
Tongue-tied Advisors Even if they have their firms' permission to tweet, a technology platform up and compliance guidelines in place, the fear that they will "do it wrong" keeps many financial advisors from participating. |
Registered Rep.
November 18, 2010
Diana Britton |
A Tweet Here, a Few More Million Assets There The financial industry's social media interaction is mostly around telling people about the organization, not around engaging the customer. |
Registered Rep.
July 27, 2011
Diana Britton |
NPH Adopts Social Media Strategy to Help Reps Connect with Clients National Planning Holdings plans to roll out a social media initiative this fall, which will allow its 3,563 reps to use Twitter, LinkedIn and Facebook to communicate with clients. |
Financial Planning
July 1, 2013
Joel Bruckenstein |
Tech Review: New Digital Content Services Two new services allow advisors to deliver online content to clients and prospects via social networks. |
Registered Rep.
October 31, 2014
Megan Leonhardt |
The Lost Opportunity Despite the greater freedom and advantages using the tools can bring, only 53 percent of advisors at RIA firms are using social media for business. |
On Wall Street
October 1, 2013
Alix Stuart |
A Social Media Presence May Enhance Business Now that advisors are (finally) allowed to use it, social media is finding its place in the marketing arsenal. |
Registered Rep.
October 28, 2015 |
Smarsh: Keeping Compliant As technology continues to evolve, both for advisors and the clients they serve, there will always be new regulations and new compliance challenges. |
IndustryWeek
May 18, 2011 |
Social Media: Navigating the Legal Perils A disciplined approach to Facebook, Twitter and other social media helps companies benefit from these networks while minimizing the chances of costly information leaks. |
Registered Rep.
September 3, 2013
Lauren Barack |
When Social Media Backfires Clueless advisors on social media can lead to embarrassment, fewer clients and even regulatory fines. Be careful out there. |
CIO
November 4, 2008
Kim S. Nash |
Managing the Social Networking Data Sieve Four steps to containing the legal risks of social sites. |
Registered Rep.
December 15, 2010
Jerry Gleeson |
A New Role for Top MSSB FAs: Bloggers Mike Ross, a portfolio manager at Morgan Stanley Smith Barney who oversees $500 million with a partner, now has a new role: wirehouse blogger. |
Registered Rep.
February 14, 2014
Patrick Mahoney |
Both Costly and Ineffective? This week FINRA's Board of Directors authorized FINRA to seek comment on a proposed rule that would require firms to "include a readily apparent reference and link to BrokerCheck" on their websites. |
PHONE+
May 6, 2009 |
Social Network Slips Should Scare IT, HR Execs The rapid growth and adoption of consumer social networks, and their misuse within the enterprise, should frighten IT departments and corporate executives |
Financial Advisor
June 2011
Michael W. Byrnes |
Social Media Networking Becomes Even More Important Whether a believer or disbeliever in the power of social media, it is important to see the trends and know how business will be impacted. This article shares three things to keep up with as the industry evolves. |
On Wall Street
October 1, 2010
Chris Kentouris |
Finra Wants More Details When Someone Gets Canned Advisors, take note: FINRA wants broker-dealers to provide more detail on the reasons for dismissing an employee in reports to the regulator. |
Financial Planning
January 1, 2012
Donna Mitchell |
Who's Afraid of Social Media? Social media compliance is a subject that elicits a range of reactions from planners, from groans to cautious, curious questions. |
Financial Advisor
June 2008
David J. Drucker |
Linking Up How can financial advisors use networking sites to their advantage? |
Job Journal
October 31, 2010
Peggy Klaus |
Social NOTworking Blogs, Facebook, LinkedIn, Twitter, and MySpace have quickly become valuable tools when it comes to effectively promoting ourselves and our products. Conversely, these very same tools can become weapons of destruction to any bragging and branding campaign. |
Registered Rep.
February 27, 2012
Lauren Barack |
Protect Your (Online) Rep "Nowadays, professional reputation is tied to online," says Don Sorenson, CEO and founder of online reputation management firm Big Blue Robot. "And you can be at the whim of anyone who writes about you." |
InternetNews
October 12, 2009 |
Facebook Market Share Soars Nearly 200% Twitter is trending north, too, according to latest Hitwise data. |
Registered Rep.
October 27, 2011
Kristen French |
Momentum Building for Social Media Adoption in Financial Services Financial firms that are using social media are not talking about their products or engaging their customer base. |
Registered Rep.
August 19, 2011
Kevin Nichols |
Five Tactics for Leveraging Social Media in Volatile Markets The following are five social media tactics forcommunicating your calm presence, bolstering your brand and simultaneously finding new prospects in tough times. |
T.H.E. Journal
October 8, 2009
Bridget McCrea |
Managing Social Media Risks Social media can expose organizations to significant risk, not the least of which is serious reputation damage |
