Prospecting for business and landing a new account is one of the most exhausting and rewarding aspects of being a broker.

But what happens after the sale can make all the difference as to whether you retain that client. Transactions in this industry are highly regulated and processing the extensive paperwork can be time consuming for both broker and client. As an independent financial services broker/dealer, we service 300 registered reps across the country. Our processes are lengthy and often-required several manual steps—from uploading applications to ensuring compliance review—that can tie up resources internally as paperwork winds its way through various departments.

In an era where brokers are under increasing pressure to add value to client relationships, it’s become a business imperative to streamline administrative tasks and focus on service.