Financial Advisors

sec/finra

Your clients trust you with their financial future. Regulators expect you to protect their data. We help you meet SEC and FINRA cybersecurity requirements while keeping your practice running smoothly.

Compliance

primarySEC Regulation S-P

secondaryFINRA requirements

additionalState regulations

What You Get

✓SEC-compliant security policies

✓Email encryption and archiving

✓Multi-factor authentication

✓Endpoint protection

✓Security awareness training

✓Audit documentation

✓Incident response planning

AI & Automation

all services →

Reduce operational overhead. Improve client experience. Our AI solutions for financial services automate onboarding, streamline compliance workflows, and give you visibility into practice metrics.

→Document AI: Account opening automation →Workflow AI: Client onboarding workflows →Analytics AI: AUM tracking dashboards

Get Started

free assessment

SEC and FINRA ready, always. Name and email to get started. Same day response.