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!)
Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser. In CO, MO, NH, and WI. Equity Services, Inc. operates as Vermont Equity Services Inc.
TC 134603(0723)1 | Cat No 106611(0423)