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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.  |
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 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. 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.  |
Financial Advisor January 2012 Brian Hamburger |
Who Will Start The Revolution? Big firms give "Big Brother" nod to social media.  |
CIO May 1, 2012 Kim S. Nash |
Financial Company Gets Social, Stays Compliant Commonwealth Financial allowed its financial planners to set up social media profiles and interact with customers by using new tools that let them log conversations  |
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.  |
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 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.  |
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.  |
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 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. 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 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.  |
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. 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.  |
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.  |
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.  |
Investment Advisor August 2010 Marlene Y. Satter |
Broker/Dealer Briefing: Facebook and Twitter: Compliance Concerns Loom As FINRA notes, social media is no longer a trivial pursuit for advisors. And as they've grown more complex, the need to consider compliance issues for all communications on social media has grown from mere prudence to a necessity.  |
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 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.  |
Financial Advisor June 2009 Andrew Gluck |
Social Networking And Advisors Advisors are barely scratching the surface in their use of social networking.  |
Financial Planning September 1, 2013 Rachel F. Elson |
Commonwealth Financial's Big Fee-Based Bet Commonwealth Financial Network already stands out for its revenue mix. Now it has a new model for RIAs.  |
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.  |
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.  |
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.  |
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.  |
Registered Rep. November 4, 2014 Megan Leonhardt |
Wires Have Biggest Social Media Footprint Out of all advisors, it's those sitting at banks who are most reluctant to embrace social media -- only about one out of every five use it, a number that has not budged much from previous years.  |
Financial Advisor September 2011 Michael W. Byrnes Jr. |
Is Google+ Really A Plus? Just as financial advisors were starting to figure out LinkedIn, Facebook and Twitter, the social space just got more complicated. Here are insights on using Google+.  |
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.  |
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. July 8, 2011 Lauren Barack |
AIG's Advisor Group Kicks Open Door to Social Media For Reps Advisor Group will allow its more than 4,800 independent reps to, in many cases, post freely on Twitter, LinkedIn and Facebook.  |
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. May 25, 2011 Lauren Barack |
Morgan First On Wall Street to Crack Social Media Code Morgan Stanley is in the process of testing a pilot program that would allow its financial advisors to interact with clients and others on social media websites Twitter and LinkedIn.  |
Financial Advisor June 2005 Raymond Fazzi |
Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging.  |
Financial Advisor September 2005 Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.  |
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.  |
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.  |
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.  |
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.  |
Registered Rep. May 14, 2014 |
The Top 10 Social Media Brands Used by Advisors We were able to break down the social platforms frequented most, and why advisors are accessing them.  |
Wall Street & Technology May 30, 2007 Melanie Rodier |
Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending.  |
Financial Planning September 1, 2012 John J. Bowen, Jr. |
Planners: Reset Your Social Media Strategy to Attract Affluent Clients Improve your efforts to attract affluent clients through LinkedIn and Facebook (and not Twitter).  |
Registered Rep. December 21, 2011 Diana Britton |
Aite: Bloom Coming Off the Rose of Social Media? Financial advisors are just getting started, and already, the bloom seems to be coming off the rose, Aite Group says.  |
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.  |
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.  |
Financial Planning June 1, 2009 Paul Menchaca |
Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound.  |
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.  |
InternetNews May 5, 2010 |
ChatSync Offers Social Media Data Archive Devrex Gear has already taken on instant-messaging archiving. Now it's looking to the broader social media landscape, offering enterprises a new path to regulatory compliance.  |
Investment Advisor March 2010 James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.  |