Onboarding

Broker Dealer Client Onboarding

Bringing new accounts on is central to expanding the business for all concerned… the reps and the Broker Dealer. At the most basic level, Broker Dealer Client Onboarding is comprised of a new account form filled out with an ink pen or for the slightly more advanced, completing a fill-able PDF. In both cases, the form(s) are printed and signed by the client and rep, then forwarded to the compliance officer for review and approval.

The next step is for the back office to enter data into the Broker Dealer’s database and forward applications and checks to the appropriate vendor.

Broker Dealer Client Onboarding is combination of the Mobile Dashboard and the Compliance Console allows the rep to create a thorough client record for the Broker Dealer’s back office system by simply completing an enhanced fill-able PDF. The rep then prints it for signatures and attaches a scanned image of the signed paperwork to the client record. Broker Dealer Client Onboarding allows for fewer steps completed in less time resulting in thorough data that the Broker Dealer can use for the lifespan of the account. If your tired of manually entering each new customer into your system please give us a call (303) 985-9956 / (303) 356-5962