Running a Financial Services Organization requires the management and storage or hundreds, or even thousands of records depending on the size of the organization. While keeping track of records for the business’s sake is very important, staying within compliance of SEC and FINRA regulations is a necessity.



How Much is Your Time Worth? Learn More!

Imagine that tomorrow morning you walk into your office and find you are subject to an audit. If your office is still working strictly with file cabinets and paper files your office is going to spend a substantial amount of time collecting information. If you are like many offices, who use multiple systems to track account info, client communication, and other information in multiple databases it still may be a struggle to find the information they want.

Using a singular system to track and store all of your records will save you time that could better be spent focusing on client communication and managing your office.

Don’t let your systems run you, run your systems.


Here is a list of some of the most important information to stored and be easily accessible:

  • Client Communication (Sales Conversations)
  • E-mail
  • Account Records
  • Transactional Data
  • Compensation
  • Written Customer Agreement
  • Firm principal’s
  • Office Records
  • Investment Recommendations