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Broker Dealer Consulting

One of the most well known challenges for any business is moving to a paperless processing system, and the Broker Dealer is no exception. Paperless Processing is alluring for many great reasons, but it's not going to go well if there isn't a consistent and efficient Onboarding System in place. Take a look at our Client Onboarding System. When that is in place, then the next big solution can be to develop a a paperless process, or Straight Through Processing, as we like to call it. The point is to pull these pieces together for efficient Onboarding and Processing while driving a decrease in NIGOs (the dreaded not in good order status).

To provide support for our Clients dealing with the ever increasing regulatory requirements put forward by FINRA,  C5 Fintech Solutions has put the pieces in place to be prepared to help. One solution to consider is to delegate critical systems to C5 Fintech Solutions.  Broker Dealer Consulting helps BD’s to focus on sales, marketing, planning and team management. Have C5 Fintech Solutions to analyze your Workflow in light of your staff and help give you the efficient resilience to keep the “Independent” in IBD.


The upside of an organized database and image management system coupled with efficient Workflow models that it can help ensure timely compliance review of new business. Allowing for prompt delivery of applications and checks to investment sponsors. You and your client have worked together to come up with financial plans of action that include investment vehicles requiring paperwork.


Submission of paperwork in good order is imperative. Prompt submission is required. With this in mind, your Broker Dealer can take steps to equip you the registered rep, and branch office, to efficiently provide data to the back office. You can then use that data to fill out necessary forms for the client to sign and attach images of that paperwork to the exact account it pertains to. This helps prevent confusion or delays while you monitor the compliance review and approval process.

This overview is just a taste of the experience and expertise that C5 Fintech Solutions brings to bear for our Clients. Why not take the Next Step and reach out for a consultation with us?

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