Financial Advisor Marketing Code of Ethics

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Here is the financial advisor marketing ethics that will govern all actions I take as a consultant. This code of ethics may serve as an example to others in the wealth management industry who are looking to market their firms ethically.

Are you ready?

But first…

For those of you who are new to my blog/podcast, my name is Sara. I am a CFA® charterholder and I used to be a financial advisor. I have a weekly newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.” So please subscribe!

Why ethics matter for financial advisor marketing professionals

Ethics matter to financial advisor marketing because of the high degree of trust that is involved with the practice of wealth management. This is a highly personal business and you are only as strong as your morals.

As a marketing consultant helping financial advisors get new clients, I am responsible for how they present themselves. This goes beyond what the financial advisor’s compliance team mandates. Many times there are nuances and subtleties that the financial advisor is too busy or preoccupied to concern themselves with. That is why all marketing professionals who serve financial advisors must adhere to a strong moral and ethical code that dictates the actions they take on behalf of the advisor, and all the representations that they assist them with creating.

Here’s the code of financial advisor marketing ethics that I follow

  • Any marketing program recommendations I render will be made with the best interests of my clients put first. Only my clients’ interests will be taken into account.
  • I will deliver all marketing advice with independence, objectivity, and prudence, and my opinions will be formed from a process of thorough diligence.
  • I will make a fair and accurate representation of any concept that my clients ask me to article on their behalf for the gain of my client or myself, to the best of my ability and effort.
  • I will make full effort to communicate all concepts clearly, in plain language, and accurately, to the best of my knowledge and ability. When there is something I do not understand, I will seek clarification.
  • I will honor all applicable regulations that my clients must follow. To help me do so, I ask that you provide me with a written copy of all guidelines you are held to.
  • Information you provide to me will be held in confidence and not used for any other purpose than the work we do together.
  • Any tools you purchase to use and provide me with access to will only be used to carry out the work I do for you.
  • I will honor and respect diversity, inclusion, and essential human civil rights in all aspects of my work, from the imagery we use to how we select vendors and relate to those we collaborate with.
  • I will respect data privacy for all parties involved, whether they be my clients or the audience we are trying to reach.
  • Referrals to any third party vendor shall be made only with the interests of serving my clients. I will not accept financial rewards for sending your business to any particular third party.
  • If a situation were to arise in which I were unqualified to deliver the work required, I will indicate this to you.
  • I will value all forms of diversity and honor human civil rights in all my interactions with others.

I will encourage my clients and the financial service industry as a whole to communicate concepts in a balanced fashion that does not seek to promote any one product or service without full disclosures of the risks, downside potential, and potential drawbacks of pursuing such a strategy.

Sara’s upshot

What’d ya think of my financial advisor marketing ethics code? Was this helpful?


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Thanks for reading. I hope you’ll at least join my weekly newsletter about financial advisor lead generation.

See you in the next one!

-Sara G

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