Compliance and Regulatory
Information
Information
No Financial Advice Disclaimer
Funnels and Setters is not a registered investment advisor (RIA), broker-dealer, insurance agency, or licensed financial planning firm.
We do not offer financial, investment, tax, legal, or insurance advice of any kind. Our services are strictly limited to marketing, lead generation, and appointment setting for licensed financial professionals.
Advisors using our service are solely responsible for any financial guidance, advice, or recommendations they provide to clients or prospects.
Lead Generation & Consent Policy
All leads generated by Funnels and Setters originate from digital marketing campaigns in which individuals complete a multi-step survey, provide accurate contact information, and give prior express written consent to be contacted by a licensed financial advisor
Our lead generation practices are fully aligned with:
- The Telephone Consumer Protection Act (TCPA) in the United States
- Canada’s Anti-Spam Legislation (CASL)
- The CAN-SPAM Act (U.S. email compliance)
- Applicable state, provincial, and federal marketing laws
Each lead is:
- Exclusive to one advisor
- Contact information–verified (email and phone)
- Properly consented through affirmative opt-in language
Consent records are stored securely and include timestamps and IP tracking for verification.
Privacy & Data Handling
We maintain a strict no-resell, no-share data policy. Leads are never recycled, shared, or repurposed. Each contact record is matched with a single advisor based on geography, licensing, and suitability.
Our CRM systems are hosted on secure platforms with access limited to internal staff and authorized advisor users. We adhere to applicable data protection regulations, including PIPEDA in Canada and state-level data protection laws in the U.S.
Please refer to our Privacy Policy for more information.
CRM and Technology Use
Funnels and Setters provides access to branded CRM and scheduling tools as part of our service delivery. These systems are used to track lead activity, appointment history, and advisor engagement.
Client data is stored securely. Advisors retain access to all campaign-related lead data but are not granted access to marketing platforms or third-party ad accounts unless otherwise specified.
Advisor Responsibility and Licensing
All advisors we work with must be:
- Licensed and authorized to offer financial services in their respective jurisdictions
- Responsible for ensuring their own regulatory and compliance obligations are met
Funnels and Setters does not monitor or approve the financial content, sales presentations, or advice delivered by any advisor. We encourage all clients to consult with their internal compliance departments before engaging with any marketing or prospecting strategy.
Territorial Scope
Funnels and Setters only supports financial professionals licensed in the United States and Canada. Leads are geographically filtered and matched only with advisors who are properly licensed to operate in those regions.
We do not support international prospecting outside of North America.
Contact for Compliance Inquiries
If you are a financial institution, advisor, or legal representative with questions or concerns regarding our compliance practices, please contact:
compliance@funnelsandsetters.com
We aim to respond to all compliance-related inquiries within 2 business days.