Support


 

Conferences & Events

ICM Incentive Trip
The X Resort
December 6-10
Cabo San Lucas, Mexico

NLG Conference of Champions
April 19-23, 2015
The Ritz Carlton, Kapalua
Maui, HI

 

SagePoint Top Producers
May 15-18, 2014
La Costa Resort
Carlsbad, CA

SagePoint ConnectEd Conference
September 8-12, 2014
Gaylord Opryland
Nashville, TN

Advisor Group Women’s Conference
June 8-10, 2014
Fontainebleau Hotel
Miami Beach, FL

DMI Incentive Trip
May 16-22, 2015
The Shelbourne
Dublin, Ireland

 

Compliance

 

Compliance is a priority with SagePoint Financial, and they provide the expert consultation, support and tools you need to avoid regulatory issues, reduce complaints and manage risk. Their commitment extends beyond the routine supervisory duties and branch exams to include a full suite of resources that enable you to move much of your compliance burden, including:

ANNUAL COMPLIANCE MEETINGS

You can take your mandated compliance courses in person at one of our regional business sessions; or if you prefer, we enable you to meet your annual requirements online, on your schedule. 

SALES PRACTICE MANUAL AND SUPPORTING GUIDES

Receive any-time access to up-to-date information on compliance issues faced by advisors. This valuable resource is backed by a dedicated phone support staff available during regular business hours.

PAPERLESS OFFICE

Guides and Support for Financial Advisors, which can support and enhance your efforts to improve productivity, efficiency and accuracy in record keeping when implementing an electronic storage solution.

Marketing

 

PERSONALIZED ADVERTISING CONSULTATION

A Marketing Compliance Analyst just one toll-free call away. Your Analyst will guide you through the steps that ensure your marketing initiatives meet FINRA guidelines.

PRE-APPROVED MARKETING AND ADVERTISING MATERIALS

Our Advisor Marketing Center includes materials developed with our professional marketing experts.  Access the industry’s leading provider of marketing content for financial advisors with a library containing over 3,000 pre-approved resources, including FINRA-reviewed content such as seminar presentations, concept pieces, website resources and newsletters.  Create custom branded communications that are constantly updated with the most current material to provide to clients and prospects.

INTEGRATED PLATFORM FOR CLIENT RELATIONSHIP MANAGEMENT (CRM)

Our cloud-based CRM solution consolidates information on your clients and prospects and is available to you directly from Advisor Portal. Manage activities including letters, emails, and meetings and maintain notes from all client discussions and meetings with the integrated CRM platform. 

Training

 

PRODUCT KNOWLEDGE

Product knowledge is the key to being independent. We focus a large part of our training program on keeping our advisors on the cutting-edge of the market so that they may be properly equipped to deliver meaningful advice and recommendations to their clients.

SALES & MARKETING

Developing our advisors into trusted professionals requires a focus on sales and marketing training. The psychology of working with clients and their financial futures takes a special skill set which is developed over time.

LEADERSHIP

Our management career path leads our advisors into a leadership role where they will be recruiting, training, and leading a team of advisors to mutual success. Therefore it is vital that our management trainees receive training on how to be a good and effective leader.

INDUSTRY DESIGNATIONS

Credibility is everything in our business. Designations such as the CFP®, ChFC®, and others tell clients that an advisor with those designations has the proper training and education to assist them in their financial needs. We encourage and incentivize our advisors to take the initiative to obtain these certifications.

 

Join Our Team

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