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AdvisorEngine  |  Financial Advisors  |  Technology  |  Wealth Management

4 Mistakes I Made as a Financial Advisor

A long time ago (in a galaxy far, far away) I was a financial advisor.  I’m proud of many things that I achieved - but with the benefit of hindsight, I realize that there are some things I could have done differently.  I’ll share with you now the biggest mistakes I made as a financial advisor and how to avoid them. My hope is that this will serve as valuable advice for those in the advisory role and also as a guide for those who are seeking financial advice.

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Compliance  |  Financial Advisors  |  Investment Advisors  |  Wealth Management

Compliance for Financial Advisors: A Regulatory Year in Review

This year the SEC provided a steady stream of guidance illustrating which compliance and governance programs worked and which ones fell short. To help you plan for 2020, we have distilled the highlights in this Regulatory Year in Review. As you study enforcement cases, rule proposals and risk alerts, you’ll see there are trends for RIAs to consider in the year ahead.

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AdvisorEngine  |  Digital Advice  |  Financial Advisors  |  Technology  |  Women in Wealth Management

Celebrating Carly de Diego, our Chief Client Officer

I feel fortunate to work with Carly de Diego. She brings positivity and intensity to her role as Chief Client Officer. Her leadership directly benefits the wealth management firms that use our technology every day. So it’s well-deserved that Carly is getting some industry attention. Just this week alone, she  was interviewed by leadership publication Authority Magazine and received special recognition from a group called NYC Fintech Women.

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AdvisorEngine  |  Financial Advisors  |  Technology  |  Wealth Management

Wealth Management's Digital Age

Technology has entered every part of my life.  At home, I am surrounded by it. In the kitchen cooking, throwing in a load of laundry or helping my kids with homework - everything requires something digital to function. At the office, my Macbook has replaced all my old tools - pen, paper, scanner, and fax. On the road, I’ve got something high-tech in my pocket, on my wrist, in my car - the list goes on and on. Everything has a screen and buttons to push.  It’s no wonder that a new digital age has entered wealth management.

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AdvisorEngine  |  Financial Advisors  |  Integrations  |  Junxure CRM  |  Technology  |  Wealth Management

How Financial Advisors Can Text Clients While Remaining Compliant

I’m a millennial. So it should come as no surprise that I like texting.  But it’s not just millennials who prefer texting as their go-to form of communication. Did you know that 89% of all consumers prefer to use messaging to communicate with businesses? Texts have a 98% open rate and 90% of these are read within 3 minutes of receipt. These numbers are astonishing. It’s no wonder that financial advisors are thrilled with Junxure’s latest integration with MyRepChat. MyRepChat reports this new integration allows advisors to communicate with clients via text while fulfilling important compliance requirements. 

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Financial Advisors  |  Junxure CRM  |  Technology  |  Wealth Management

How to Implement New Technology Within Your Financial Advisory Firm

Over the course of my career, I’ve had the opportunity to talk to literally thousands of companies and financial advisory firms about technology - especially in my current role selling CRM software. Technology is powerful. Technology can make or break user experience. Technology can reduce costs associated with data capture and analysis. Technology can increase advisor productivity. Technology can free up time so you can focus on deepening client relationships. Who wouldn’t want that?  While choosing new technology is one thing, implementing it is another. Neither should be done without careful consideration. 

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