The ever increasing complexities of the hardware and operating systems in play, coupled with the demands for systems security, complicated by the vagaries of the power players (Microsoft, Adobe, etc.) has served to make the “easy to install/maintain” an ever increasing challenge for many Broker Dealers. With the upcoming possibility of daily reporting to FINRA when their CARDS initiative gets fleshed out, C5 Solutions Broker Dealer Commissions, Compliance, Onboarding, Imaging and Workflow software is prepared for any changes. For the Broker Dealers with strong IT infrastructure and staffing, this is manageable and few problems arise. For the broker dealer with little or no IT infrastructure, we assume the IT responsibilities and free the end users to focus on using the systems we offer without getting bogged down in the gritty details that must be addressed for successful adoption of our offerings. To fully grasp the breadth of the C5 Solutions for Broker Dealers, we recommend that you accept our offer for an online review of how our systems can positively impact your business at all levels. Your staff does not have time to know and use a different system for each of your needs and you should not be paying for a separate system to meet each of your needs. Consolidate and focus your technology with C5 Solutions we have been in the business for 30+ years. To arrange an online review, please contact us at (303) 985-9956 / (303) 356-5962 or email us at C5 Solutions by Techmate.
Our comments on FINRA NTM 13-42 Here
President Rod Lueck
Rod started in the financial services industry in 1978 as a financial planner with E.F. Hutton’s “Hutton Financial Services” division. Two of his current clients were fellow planners at Hutton in 1979. From there he moved on to run an OSJ for Private Ledger and then was recruited to Integrated Resources Equity Corp. as a recruiter and sales trainer. The original Operations Plus was programmed by people shuffled out of Integrated Resources when their Broker/Dealer was moved from Denver to New York in 1984/1985. Integrated’s demise became apparent in 1988 and Mr. Lueck stepped into Techmate as a financial backer and eventually as president of the company. Concurrent with his move to Techmate in 1988, Rod formed his own Broker/Dealer which he eventually sold to one of Techmate’s clients in 1995. Techmate is now formally know as C5 Solutions.