C5 Solutions For Broker Dealers

C5 solutions offers Broker Dealers Commissions, Compliance, Workflow, Imaging Software solutions. The 5 C’s of C5 Solutions stand for Commission Processing, Compliance Record Keeping, Customer Data Aggregation, Continuity Planning and Consulting
Services. We are technology for today’s Broker Dealers.

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WinOPS Options 2017

WinOPS July 2017 options updates are available below. For version 6.05 or later select 7.00 for 6.04 or earlier click 6.04

Options 7.00 / Options 6.04 / Directions

Users Group 2017

Topics this year include: DOL Fiduciary Rule, Cyber-Security, Enhanced Data Aggregation, UI and Form Based Data Entry.

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DOL Load Leveling

DOL load leveling and trail handling is available for testing contact us when ready to upload a recent backup and let us know if you want to run your own test site or have us set up a “hosted” site. We can hope for a delay, but as it stands now testing must get completed before April 10th.

Call 303-985-9956

DOL Preparation

Commission processing under the Department of Labor “Load Leveling / Trail Handling”.

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BD Rankings 2017

Congratulations to our clients who made Investment News’ Top Independent Broker Dealers for 2017! Check out in issue January 23, 2017 for more information.

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End Of Year Procedures

For WinOPS end of year procedures please click learn more below.

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DOL BIC Checklist

Shortest and most informative BIC primer you will find online. Marcia Wagner gives a rapid fire tour of four key documents you need for DOL compliance. Marcia Wagner Law Group, BIC in a Box hosted by C5 Solutions for Broker Dealers.

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Straight Through Processing

Effective STP requires a secure, practical and affordable online access portal for the registered representative and an easy to use central receiving tool for the compliance officer at the broker dealer.

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Days and Dollars

C5 Commissions, Compliance, Workflow, Imaging Software allowing Broker Dealers to focus on business instead of maintaining commission, compliance and suitability data.

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Mobile Rep Tools

The C5 Mobile Dashboard for Broker Dealers allows users to access On Boarding, customer data, reports, commission and compliance data anywhere.

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Robust Compliance

The C5 Compliance Console allows for multilevel compliance to review documents side by side with relevant data for useful Broker Dealer Compliance data.

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Powerful Commissions

C5 uses the center piece WinOPS to run Commissions. WinOPS focuses on data allowing broker dealers to focus on business. Let WinOPS take your Broker Dealer Commissions to the next level.

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Electronic On Boarding

C5 Software Solutions can transform any new account form into a data gathering on boarding tool. Since your reps are already trained to fill out your New Account form, use that training to populate your database.

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