How does AskMyAdvisor® impact advisor compliance and FCC rules around communication?
AskMyAdvisor® was built with compliance in mind. SOC 2 Type 2 certification is underway. The OS never stores two-way messaging. Advisors only reply through firm-approved tools. Founder Brian Ouellette started on Wall Street, so compliance was baked into the system from day one.
How AskMyAdvisor® Impacts Advisor Compliance
Built with compliance in mind
AskMyAdvisor® was built with compliance in mind. We do not replace advisor-client communication. We simply make it easier for the right people to connect.
Invitation-based system
Advisors invite their top 20 percent clients and trusted COIs into their AskMyAdvisor® OS.
Limited question submission
These VIPs can submit questions through a private Q&A box, limited to 400 characters.
Direct advisor response
Only the advisor receives the question.
Existing communication channels
The advisor responds through their existing work email or phone.
No internal messaging
AskMyAdvisor® does not allow any back-and-forth messaging inside the system.
Zero Two-Way Communication
One-Way Intake Only
AskMyAdvisor® acts as a one-way intake only.
Normal Work Channels
All conversations happen through the advisor's normal work channels.
Firm-Approved Tools
This keeps all communication within firm-approved tools.
Nothing Stored
Nothing personal or sensitive is stored inside AskMyAdvisor®.
Supporting Regulatory Compliance
Works With Compliance
AskMyAdvisor® is built to work with compliance, not around it.
Work-Issued Tools
Advisors use their work-issued tools to communicate, just like they always have.
Simplified Connections
AskMyAdvisor® only simplifies how qualified connections start.
No Messaging Threads
There is no messaging thread. Nothing to supervise. Nothing to archive.
Monitored Systems
All communication remains within firm systems already monitored for compliance.
What Makes AskMyAdvisor® Different
Not a Replacement: It does not replace anything. It connects the right people, then gets out of the way.
No Messaging Features: No texting. No chatting. No in-app threads. Just one secure path to connect.
From Cold Calls to Compliance-First Innovation
Brian Ouellette, founder of AskMyAdvisor®, knows the compliance game inside and out. He’s lived it. He even coined the phrase,
"The Compliance Department, where great marketing ideas go to die."
"The Compliance Department, where great marketing ideas go to die."
Now, he’s flipped the script. With AskMyAdvisor®, compliance isn’t a roadblock. It’s baked into every inch of the OS. Here’s the path that shaped it:
College Cold Caller
Brian Ouellette, founder of AskMyAdvisor®, built this system after two decades on Wall Street. He started cold calling in college.
Chicago Board of Trade
Became a runner on the floor of the Chicago Board of Trade then quickly move to the private client division.
Financial Licenses
Earned Series 6, 7, 63, 65, 66, life and disability insurance licenses
Private Client Business
Built a successful wealth advisory practice with PaineWebber in his hometown.
Pro Athlete Advisor Coach
For over a decade, he coached advisors through ProAthleteDirect, helping them serve professional athletes while staying 100% compliant.
Designed with Compliance Experience
He understands compliance because he lived it.
That's why AskMyAdvisor® is not just secure. It's smart. It protects advisors by design.
How AskMyAdvisor® Protects Your Practice
Invite VIP Clients
Selectively invite your top 20% clients and advisors
Receive Questions
Clients submit brief questions through a secure channel
Respond Compliantly
Use your existing work email or phone to respond
Stay Protected
All communication from that touch point remains in firm-approved systems