Social Media Expert Question & Answer Session
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Social Media for Financial Advisors: Expert Q&A
Presenters:
D. Bruce Johnston, President & CEO, Advisolocity
Blane Warrene, CEO, Arkovi
Zach Hedges, CEO, CaptureTrackConvert (CTC)
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D. Bruce Johnston, President & CEO, Advisolocity
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Blane Warrene, CEO, Arkovi
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Zach Hedges, CEO, CaptureTrackConvert (CTC)
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Agenda
1 Understanding the Rules, Policy and Strategy
2 How Advisors Are Using Social Media, Best Practices
3 Social Media Archiving, Monitoring, Intelligence
4New Technology: Automate Your Client Qualification Process
5 Q&A
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•FINRA 10-06•NASD 3010•NASD 2210 (b)•SEC 17a4
Rules & Regulations
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Rules & Regulations
What Did 10-06 Teach Us?
• Twitter, Facebook and LinkedIn are like traditional written communications
• Additionally-Websites = advertisements-Communications to 25+ prospects = sales literature-Password-protected websites = sales literature-Chat room discussions are public appearances
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Rules & Regulations NASD 3010 & 2210 (b)
• The obligation to review correspondence-Supervisory role of surveillance-Retention of all material (even non-reviewed) to avoid surprises
• Moderation-The ability to moderate & pre-approve per 2210 (b) as needed with audit trail
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Rules & Regulations
SEC 17a4
• Records Retention
• Indexing and Retrieval
• Verification and Time-Stamping
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Rules & Regulations Our View of the Rules
© Arkovi 2011
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Rules & Regulations SEC & Sweep Letters
• An editorial view on the SEC Sweep Letters regarding the use of social media
-http://bit.ly/secsweep
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Policy
Before You Engage…
• Have a Policy-Outline who is authorized-Outline which platforms are acceptable-Include your own governance & ethics-Approved Technology-Signed Affirmations-Mitigation
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Strategy Before You Tweet…
• Have a strategy-Executive support-Match the medium(s) to your firm culture-Resources-Content plan-Responding to negatives
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Live Poll
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Strategy
How Advisors are Using Social Media
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Strategy
How Advisors are Using Social Media
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Strategy
How Advisors are Using Social Media
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Strategy
How Advisors are Using Social Media
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Strategy
Best Practices
• Thought Leadership-Develop a Voice
• Measure Results-Monitor-Develop Metrics
• Expand Market Presence-Consistency-Be Found
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• What You Need
• Questions to Ask
• Benefits of Archiving
Social Media Archiving
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Archiving
• Capture content from anywhere
• Archive platforms-Facebook, LinkedIn, Twitter-Blogs, websites -Any platform with RSS feed
• Pre or post surveillance options
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Monitoring
• Monitor your business & employee content
• Integrate to business systems-Content management systems-Email archiving platforms-Data warehouse & reporting dashboards
• Search, sort & report• Export to Excel
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Intelligence
• Monitor what others say about you-Your brand and products/services-Your company-Your employees & partners
• Track keywords & phrases important to you-Track web and social alerts-Aggregate content-Generate Excel reports
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Benefits of the Cloud
• Work from anywhere
• Work from any device
• Curate your social history
• Bonus benefits of research & resource tool
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Automate your client qualifying processBuild a relationship with your prospects who aren’t yet ready for a sales conversation. By engaging them with thought leadership and relevant automated nurturing content, you build trust and gain mind-share.
New Technology
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New Technology
Install Client Acquisition Technology into your Internet pipeline
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New Technology
Capture Your Prospects
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New Technology
Track Your Prospects
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New Technology
Convert: Automate Relationship Building Activities
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New Technology
Take an Action
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New Technology
Client Retention
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ByAllAccounts: S.M.A.R.T Decisions Series
ByAllAccounts, the professional wealth advisors’ choice for financial account aggregation and consolidation, is the only service that retrieves, consolidates, enriches and produces
reconciliation-ready account data from any financial institution/custodian.
Thousands of advisors rely on ByAllAccounts to efficiently scale their business, increase revenue by billing on held-away assets and to deliver exceptional client service.
.
:www.byallaccounts.com
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Q&A and Contacts
Zach HedgesCEO, CaptureTrackConvert (CTC)[email protected] [email protected] x700
D. Bruce JohnstonPresident & CEO, [email protected] [email protected]
Blane WarreneCEO, Arkovi [email protected]@ArkoviBackups866.222.2334 x701
Justin ShepardByAllAccountsjshepard@[email protected] x156