We have partnered with AIX to create a Complete New Business Solution.  Utilizing a built in e-Sign platform, along with Compliance Workflows to streamline your business, reduce NIGOs, and reduce processing time to complete your trades faster

AIX includes the following to help your business:

• New Transactions
• Change of Broker Dealer Requests
• Account Updates
• Trade Blotter
• Transaction Document Storage

We have integrated ComplySci into our technology stack to give you a streamlined process for all of your compliance needs.  With ComplySci, you will be able to track your Non-New Business submission, including, but not limited to, the following:

• Outside Business Activities
• Outside Brokerage Accounts
• FINRA/SEC Licensing Requests
• Marketing Material Reviews
• Representative Onboarding
• etc.

Our primary goal when we set up ShareFile was to provide a system that is compliant and easy to use.

Confusing technology and cumbersome processes can pull you away from your clients’ needs which is why we spent the time laying out ShareFile in such detail for you. We want you to be able to focus on what’s important—your client—not navigating around in new technology. With ShareFile you have access to:

• Web hosted solution with access from anywhere
• Secure file sharing
• Compliant document storage
• E-Signature

• Licensing and renewal detail
• Client account detail
• Transactional detail
• Commission statements
• Commission-on-demand

• Online education modules for our alternative product solutions

• Online access to complete Office Suite
  • Outlook, Word, Excel, Power Point, etc.
• MS TEAMS
  • Live chat with TEAMS members
  • Video training and conferencing
  • Conference phone dial-in