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Customer Data Aggregation

Looking back to the glass building representing the Broker Dealer for a moment. If the glass building has no doors and windows it can become a fortress with layers and layers of glass. This won't work for the Broker Dealer. While she must be transparent, she must also have doors and windows to take in enormous amounts of sensitive data, properly handle it and export it to the needed institutions for payouts and governance.

C5 Fintech Solutions has taken this into deep consideration in building systems of strength for what our glass house represents. WinOPS allows data to come, be properly managed, and leave as it should.

At C5 we are particularly excited about our D.A.R.T. system. It is a robust data feed driven system that runs in parallel with WinOPS and in the future will be available as a stand alone to service not only Broker Dealers but also their Representatives. The up to the minute Business Intelligence capability provides coveted data for use in the Broker Dealer business and in the Representative's business. It also can be used to automate Data Maintenance in WinOPS.


Customer Data Aggregation for administrative purposes is crucial to the Broker Dealer back office.  In addition C5 Solutions recognizes the crucial nature of data security. Cyber Security Threats and accompanying regulation are ever present. C5 Fintech Solutions approaches Customer Data Aggregation and Care in several ways:

  • The most secure approach we take to data management is through a HOSTING Solution. Data and Programmed tools are hosted by C5 Fintech Solutions in a strictly secure and well recognized environment. Along with a number of System Maintenance conveniences, this approach brings recognized security for our Clients.

  • In addition to security for cyber threats, our Solutions have specific rules and roles for every user in the system. Administrators easily grant access to the appropriate people to handle their part of the process. The tools are in place to not only remain FINRA compliance but also to keep all of the workflow images, documents and information safe.  We track everything from suitability, rep appointments to OFAC data. WinOPS is the robust tool C5 Fintech Solutions uses for back office data. The basic flow of WinOPS is having Products to sell, a Rep to do the selling and a Customer to buy the product. This data is then pushed to customer holdings to end of day processing and onto commissions for 1099 reporting.

  • Another offering C5 has provided is Mobile Dashboard. Just as with our glass house, data must come and go to and from the Broker Dealer. FINRA books-and-records, rep licensing, suitability and compliance tools at your finger tips. Industry standard security allows for secure access of back office data with our Mobile Dashboard.

  • Keeping virtual documents secure while allowing for mobile access is an absolute necessity to any Broker Dealer. Controlling data from third party sources allows for accurate integration for Broker Dealers to stay versatile with evolving industry and regulatory changes. Have systematized data allowing your Broker Dealer staff to focus new business instead of reviewing NIGO business. Broker Dealer Customer Data Aggregation is the backbone of the C5 Solutions back office software. WinOPS Downloads includes a robust platform for downloading Commissions Data from a variety of Third Party sources and Clearing Firms. 

To see a full range of what WinOPS can do click here.

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