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1 Post authored by: Kathy Leeman-Oracle

Financial advisors are tasked with bringing in a steady stream of new, preferably high-net-worth, clients but are expected to do the majority of prospecting themselves.  At the same time, they still need to service the needs of their existing client base – who expect a high level of personal service from the individual with whom they have entrusted their wealth.  Email can be a life-saver but can get mired in compliance reviews.



How can Marketers come to the rescue?

  1. Provide pre-approved email templates across a wide variety of topics. 
    If a prospect mentions interest in setting up a college fund, have an email pre-designed about the various ways to save for college so the advisor doesn’t have to write (or copy and paste) one. Better yet, have a series of emails about the topic that can be sent as a nurture campaign. 

  2. Help advisors manage marketing events.
    Many advisors use live events for prospecting opportunities but struggle to follow up with leads.  By automating follow up communications with supplemental information pertinent to the topic covered at the event, you help the advisor maintain awareness in the prospect’s mind until an in-person connection can be made.

  3. Use dynamic content in client communications to personalize emails.
    One of the benefits of the “Know Your Customer” regulations is that you (gasp!) “know” your customer – their age, profession, investment goals etc.  Use that data to make your client communications more relevant to each client. A young couple just getting started on their investment accounts probably won’t be as intrigued with the standard picture of an affluent older couple playing golf in their retirement or an article about retirement account withdrawals. 

  4. Make emails more actionable than “Call me for more information.”

Regulations prohibit the use of email for placing or executing trade orders.  Even more education-based campaigns are typically stuck with weak “Call your advisor for more information” calls-to-action.  However, sending an email saying “call me” is ineffective. Imagine instead a prospect can express interest by clicking a button or link on an email that says “Have your advisor call you.”  This button can trigger a blind-submit form that sends a sales-notification email to the advisor whose top priority is to connect with an interested prospect.


Every financial services company will have different levels of advisor control over what the client receives from the firm.  The key is to take high-level look at how your company’s communication plan is structured and plan from there. By providing the right tools, marketers can help advisors generate revenue while easily navigating the compliance maze.

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