Compliance, Operations, And Marketing For Advisors Going Independent

Andrew Gluck
10/14/09 4 PM EST
4.4
Average Attendee Rating
Poor Average Excellent

The first session of the Advisors Going Independent Webinar Series took place on Wednesday October 14 at 4 p.m. Eastern Time.

Joining host Andrew Gluck for the webinar were two other experts in independent advisor operations and compliance.

 
Blane Warrene has 18 years of experience in broker/dealer and RIA technology and operations, focusing on investment and insurance systems integration, broker/dealer operations management, process design and implementation, and strategic planning.
 
Chris Winn has 16 years of industry experience with a focus on regulatory compliance. As managing principal and co-founder of AdvisorAssist, he has led compliance teams in design and implementation of programs pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940, Rule 38a-1 of the Investment Company Act of 1940, and other federal securities laws.
 
The webinar provided brokers guidance on challenges they must face when becoming independent financial advisors including:
  • Required books and records rules
  • The easiest ways to meet RIA compliance responsibilities
  • Key strategic operational decisions when starting a firm
  • Initial operational processes that should be established
  • Selecting practice management software and custodians
  • Communication systems for transitioning clients
  • Independent advisor marketing solutions to find new clients

User reviews

4 reviews

4.4
Average Attendee Rating
Poor Average Excellent
Already have an account? or Create an account
View most helpful
5.0
Average Attendee Rating
Poor Average Excellent

Chris Winn's Follow Up

See Chris Winn's follow-up to this webinar on his commentary page here and here.

Was this review helpful to you? 
(Updated: October 13, 2009)
4.0
Average Attendee Rating
Poor Average Excellent

-

Was this review helpful to you? 
(Updated: October 13, 2009)
5.0
Average Attendee Rating
Poor Average Excellent

-

Was this review helpful to you? 
(Updated: October 13, 2009)
4.0
Average Attendee Rating
Poor Average Excellent

-

Was this review helpful to you?