The Compliance Journey of a Simple Marketing Letter

[xrac]

I hope you are not captive selling for one of these companies:

The Compliance Journey of a Simple Marketing Letter: The Letter - Undesignated - Agents Sales Journal

 

[LGilmore]

Well, the first thing to point out is the letter is way too long for a marketing piece. I doubt it would find success out there.

Basically, any stats mentioned should have a reference.

But compliance is compliance all the world over. They are the people you have to fight with to get a yes from.

Having a securities license makes it twice as hard. The discussions I've had with my BD's compliance officer has led me to really not market securities sales anymore. It's not worth the hassle.