Financial Advisors

Our document management solution is an electronic filing system that is ideal for financial advisors, broker-dealers, and independent agents. Our solution is structured to handle all the documents used in your office, whether they are scanned from paper or created electronically. You can dramatically improve both your filing and retrieval efficiency which provides greater productivity for you and your staff.

Ease of use

A key concern of any financial services business is meeting compliance mandates. With our system, you have the tools you need to control access, enforce document retention policies and audit file activity.  Storing your files electronically ensures all your files are protected in the event of a disaster, while quick and easy retrieval speeds the regulatory audit process.

Meets SEC Rule 17a-4(f) requirements for the creation and preservation of security transactions

Facilitates back-up to non-erasable WORM (Write Once, Read Many) format

Enables the ready retrieval of records for inspection by regulatory agencies

Organizes and indexes all records through system templates. (For example: document name, folder name, date, or can just as easily be configured to use social security number, tax identification, account number, client name, etc.)

Permits backup of all records to separate disk or other media for off-site storage

Integrate with your existing systems

Our electronic filing solution supports the native document format of your existing applications, consolidating data into one organized and secure networked accessible system. In addition to basic filing, storage and retrieval, our solution provides enhanced functionality with office applications such as:

Microsoft Outlook

Intuit QuickBooks

Sage ACT!

Climark Advisor’s Assistant

Laser App

Security that Scales

If you need a solution that can scale and control access to sensitive data, then our document management system is a great fit for your organization. We provide a platform that can grow with your business and extend across your entire operation. Many companies start in accounting and find increasing benefits as the company extends the technology into management, sales, human resources and customer service.