Marketing & Client Communications

 

  • Compliance Review of Marketing and Retail Communications – Securities America uses an automated system called AdTrax, which facilitates review of all marketing and advertising materials by our Compliance Communications Review Department and also serves as permanent books and records. Advisors receive training on how to use AdTrax during their transition.
     
  • DBA Names – Advisors can still use a DBA name, subject to compliance approval prior to use. The DBA name can be included on all client statements.
     
  • Websites – Advisors can have their own company websites. During transition, advisor websites must be reviewed by Compliance. The main focus will be changing the disclosure language to show Securities America as the broker-dealer. Future updates to websites will also need Compliance approval.
     
  • Email – Advisors can use vanity or financial institution email addresses (in addition to their “@securitiesamerica.com” email address) for correspondence with clients. This must be disclosed during onboarding and be compliance approved. Securities America uses SMARSH for email surveillance as well as for archiving and monitoring email, so all outside email domains must be properly set up to journal for principal review. All administrative staff of the advisor office, including unregistered support staff, must have their email journaled to SMARSH for principal review.  

 

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