Financial Services firms require a secure and reliable tool to manage their client records as they stay in compliance with SEC regulations. From the initial Client Profile and Transfer of Asset forms through Execution Notices, Wire Transfers and Client Correspondences, the paper trail seems to go on forever.

SmartSearch provides GAs, DAs or Broker-Dealers with the means to eliminate paper-based filing as you manage your client records with far greater efficiency. Scanned or imported records are stored in a powerful Microsoft SQL Server database allowing users to recall documents based on a variety of search methods, including Client, Customer or Trustee Name, RR Number, Trade Execution Date or Transfer Date. As with all SmartSearch databases, users can easily customize the Financial Services database to their individual needs.

Once documents are retrieved they can be annotated, redacted or electronically signed prior to being distributed through your choice of email, fax, print or CD export. Your documents, of course, are protected from permanent change and an audit trail of all document related activity is maintained.

Call Square 9 Softworks today to learn more about how SmartSearch can help make your firm more efficient, secure and compliant as you provide your clients with a higher level of customer service.

Customer Success Stories

Consumer Loans

• SmartSearch Lightens the Load for Consumer Finance Company Industrial Acceptance Corp. More> | PDF

Financial Services

• SmartSearch protects Franklin Regional Retirement Systems against possible multi-million-dollar document losses. More>