Practice Management
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Getting Started
Starting as an independent financial advisor can feel overwhelming with so many things to set up—whether it’s securing your office, choosing a domain name, setting up your email host, creating a website, ensuring cybersecurity, or building an operations manual. While it’s a lot to manage, you don’t have to do it alone. We’re here to guide you every step of the way, offering the resources, expertise, and support you need to get your business up and running smoothly.
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Below, you’ll find helpful tools and advice to make the process simpler and more manageable, so you can focus on what you do best—growing your business.
Domain, Email, and Website Hosting
For independent financial advisors, a DBA (Doing Business As) name is the public-facing name under which they operate, separate from their legal business name. Choosing a DBA before setting up a website is vital for strong branding, legal compliance, and securing an available domain. It ensures a professional online presence and smooth communication through consistent domain and email hosting.
Domain Registration
A domain is the name of your website or email address. It's what people type into a browser to find your site (like "example.com") or the part after the "@" in an email address (like "you@example.com").
Email Hosting
An email host is the service that manages your email. It stores your emails and lets you send and receive them. For example, Gmail, Outlook, or a company-specific service (like email@yourcompany.com) are email hosts.
Website Hosting
A website host is a service provider that stores and manages the files and data necessary for a website to be accessible on the internet. They provide the technology and infrastructure, including servers, bandwidth, and storage, that allow your website to be viewed by visitors.
How to Register a New Branch Office
Whether you're a brand new financial professional opening your own office or an existing financial professional relocating to a new address, branch registration is essential to staying compliant. We've outlined the entire process below to help you take it one step at a time.
Step 1
Fill out the Branch Office Registration Form
Step 2
Order a SIPC Sign
Step 3
Update Outside Business Activity
Step 4
Resubmit Advertising Materials
Step 5
Prepare for an Annual Supervisory Review
Step 6
Contact Outside Vendors
Cybersecurity Policies & Insurance
In the financial services industry, strong cybersecurity policies are essential for protecting client data, ensuring regulatory compliance, and reducing the risk of cyberattacks. Cambridge's cybersecurity policies and best practices resources help us set guidelines within our own office. While cybersecurity policies help prevent and manage risks, cybersecurity insurance provides financial coverage in case of a breach, offering protection beyond what general E&O insurance covers.