Our Blog
Oct
14
Share:
How an OSJ Can Help You Prepare for an SEC Audit
As the owner of an independent financial advisory firm, you’re responsible for all aspects of your practice, including compliance, operations, marketing, and all other aspects...
Oct
7
Share:
The Inside Scoop: “How I Manage My Own Money”
When you talk to clients, you are full of advice. After all, that’s what your clients are looking for from you. You’re the one with...
Sep
16
Share:
Transform Your Financial Advisory Practice With the Help of an OSJ
Running your financial advisory practice has never been more challenging, even for the most experienced financial professionals. Given today’s increased compliance scrutiny, rapid technological advancements,...
Aug
12
Share:
8 Grammar Tips for Tripped- Up Financial Advisors
You’re a numbers person—it’s why your clients come to you. When it comes to finance, creating proposals, and understanding the markets, you’re creative and insightful,...
Aug
12
Share:
Is Your Advisory Firm Too Small for a Major Custodian? Consider an OSJ
When small financial advisors apply to use the services of a brand name custodian, they often face significant challenges, such as high asset thresholds and...
Jul
22
Share:
Compliance Tasks Simplified With the Help of an OSJ
As financial professionals, you face a constant barrage of complex regulations. Staying compliant with these regulations can be a significant burden, consuming valuable time and...
Jul
8
Share:
3 Steps to Getting Clients Motivated to Plan
One of the most challenging service items that financial professionals deal with may be trying to get existing clients to come in for financial planning...
Jun
24
Share:
Quiz Yourself To See if Hiring an OSJ Makes Sense for Your Firm
Are you finding it time-consuming and increasingly difficult to maintain an efficient compliance process? Weak supervisory structures could leave your firm exposed. One solution that...
Jun
10
Share:
Your Distinctiveness on Display
When you think of a brand with a good shopping experience, what comes to mind? It’s probably not just a place with a product you...
May
13
Share:
Helping a Client After Identity Theft
You do your best to look after your clients’ wellbeing, including maintaining a strong cybersecurity plan to safeguard their private data and the integrity of...
May
6
Share:
Reducing NIGOs With the Help of an OSJ
As financial professionals, you understand the importance of accuracy and efficiency in your operations. However, one persistent operational challenge can significantly impact your firm’s productivity...
Apr
11
Share:
Management During a Client Meeting Part 2: Timing
Previously in this series, we identified how challenging even a well-prepped-for meeting can feel. Initially, we discussed step one of creating an agenda that suits...
