Changing Broker/Dealers – Investment Firm Advertising Review

At SII Investments, the Advertising Compliance Department realizes the information you need to share with your clients is time sensitive, and as an independent broker/dealer, we have procedures in place to provide you with a timely response. SII upholds high standards for advertising review turnaround, and completes thorough compliance review for our Registered Representatives' investment firms of each piece according to complexity.

We provide an Advertising Compliance Approval form to accompany all advertising/sales literature material. This form assists the Advertising Department in completing swift and accurate approval of all your advertising needs. Log numbers are provided with each approval for reference purposes. This practice allows us to provide the following helpful services to our advisors as they are changing broker/dealers and beyond:

  • Retrieve advertising material quickly when you have questions
  • Provide reports upon request to view advertising material that has been submitted
  • Assist in ensuring your advertising file is complete and maintained in an efficient manner

SII also provides training, best practices, privacy information and compliance monitoring for advisors interested in actively using social media for business-related purposes. This includes guidance for advisors wishing to develop an approved static Facebook, LinkedIn or Twitter page. For more information about our investment firm advertising compliance services, please contact SII Investments today.