I would gladly stand down from my complaint to submit my non-FINRA advertising and client communication if there was someone at the compliance department who knew what I was talking about. Keep in mind, and at that time, everything I’m addressing is non-securities.
I’ve conducted thousands of live public seminars, wholesale workshops, radio talk shows, television and HD 1080p video interviews, as well as thousands of tweets, blogs and articles on the Internet. Over 90 percent of all of those communications address non-FINRA insurance products.
Finding a broker/dealer who understands insurance products and marketing to the public has been a 25-year pilgrimage in itself. My relationship with my present broker/dealer is the best of my career. Of course, I still submit my communication to my broker/dealer on all securities, but I have some latitude on non-FINRA product wholesale communications.
The vast majority of registered representatives whose core practice centers around packaged insurance products are simply asking for a compliance officer to be knowledgeable in the products and planning strategies they review. Why is that too much to ask?