You may think of a Series 7 Securities License as the exclusive domain of financial advisors. But can this valuable credential also benefit those of us in the marketing realm? The answer is a resounding “yes.” Let us introduce ourselves – we are Alise and Cherie, both proud holders of Series 7 Securities Licenses. Here’s why it matters.
Contrary to popular belief, a Series 7 Securities License doesn’t just bolster our financial acumen – it has also amplified our ability to assist clients in their marketing endeavors. Acquiring our licenses wasn’t a conventional path for marketers; Cherie gained hers while working in a corporate setting, and Alise got hers while collaborating with financial advisors on their marketing strategies. Getting licensed helped us gain a unique perspective on financial services marketing.
Meeting Compliance Requirements With Ease
Our Series 7 credentials have empowered us with comprehensive knowledge of the financial sector’s regulatory landscape. This awareness makes all the difference when developing marketing materials that meet compliance standards. We’ve observed a stark contrast between materials produced by our team, armed with an understanding of financial services and alternative investments, and those from competitors lacking this specialist knowledge. Our materials make it through the compliance process more easily, oftentimes with the coveted “as is” approval and a FINRA clean letter.
Compliance Conversations Made Simple
Being licensed has significantly enhanced our ability to have productive dialogues with compliance departments. We’re equipped to troubleshoot the inevitable challenges that arise when navigating regulatory bodies like FINRA. Understanding the rationale behind these regulations allows us to reverse-engineer solutions that not only comply with the rules but also effectively convey your marketing message.
Building Cohesive Relationships
We also strive to nurture collaboration with compliance and legal teams. Although we’re not officially part of these teams, our shared language and understanding allow us to jointly develop solutions for compliance roadblocks. This collaboration has streamlined processes, making everyone more efficient and enhancing the education of advisors and investors on alternative investments.