Marketing Resources

Overview

When establishing a team, you’ll want to consider marketing and branding. For instance, will your team all market under the team DBA? How will you communicate your team arrangement with your clients? Do you plan on creating team-branded materials? This section is designed to provide information and resources to help you navigate team marketing.

Compliance Guidelines

This section includes an overview of marketing and branding components and corresponding compliance requirements.

Team DBAs

As outlined in Field Notice 2021-25, any new DBAs must be approved by ESI Compliance prior to use. If your team will be using a new DBA, we recommend you submit all DBAs to ESI Compliance prior to filing with any state insurance department and/or Secretary of State, creating legal entities such as LLCs and/or partnerships, or printing any materials containing any DBA prior to approval. You should also consult with ESI Compliance on any changes to a DBA requested by a state department prior to finalizing your state filing to ensure the final DBA is acceptable both for FINRA and/or the SEC.

Print Materials

All team print materials, including letterhead, business cards and marketing materials, will require the normal advertising review process.

Electronic Materials

All digital team materials and communication, including websites and email, will require the normal review process.

Social Media

If your Team plans to post to social media platforms, setting up your social media accounts for your team thru Hearsay will follow the same process you used setting up your individual social accounts. For step-by-step guidelines, see the Social Media Playbook.

Introducing Your Team to Your Network

If you intend to market under your team DBA, see Connecting with Your Network resources. (Coming Soon!)

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For Broker/Dealer Use Only - Not For Use With The Public

TC 143331(0724)3 | Cat No 106611(0724)