for Broker-Dealers

SmartOffice for Broker-Dealers

Increase Efficiency, Provide Comprehensive Oversight, and More

Compliance Tracking

Archive client communications, documents and notes. Create and manage standardized, approved correspondence templates and marketing materials for your reps.

Time & Calendar Management

Maximize your efficiency with Outlook/Exchange integration, automated e-mail posting, and extensive task/appointment management, outcome tracking and notification features.

Dynamic Reports

Use our Dynamic Reports to mine your client data for marketing and upsell opportunities. Generate clear, attractive reports for your clients to help them understand their finances.

Policy & Investment Tracking

Track bank accounts, investment accounts, and insurance policies to develop a complete picture of your clients’ finances at the individual and household levels.

Opportunity Tracking

Create multi-stage opportunity processes to help your reps systematically identify, contact, and follow up with prospects. Link opportunities with marketing campaigns to gauge the effectiveness of sales efforts.

Data Security and Compliance

SmartOffice has extensive audit trail and data protection features that keep you on the right side of fiduciary and cybersecurity regulations and standards. We have close partnerships with FCI and OS33, two leading firms in the area of cybersecurity policy and compliance enforcement. To learn more, click here.

Catch an Upcoming SmartOffice Demonstration