BUSINESS CENTER and ADVANTAGE TECHNOLOGY Your key to daily business solutions. BUSINESS CENTER This is our user-friendly website providing valuable information and tools to help you run a more efficient and effective business. This resource, along with our Technology Practice Management Program and Field Technology Team, gives you comprehensive support to grow your business. Technology is one of the most important considerations when choosing a broker-dealer. Securities America stands ready to meet and exceed your needs with unsurpassed technology services. We capitalize on internet economies that push down network costs and allow us to develop and enhance systems rapidly. You can expect creative solutions to your business needs, delivered wherever you are and enhanced continuously as a result of your feedback and changing needs. You have access to the information you need to run your business 24 hours a day, from any internet-connected device in the world. These are some of the tools and topics Business Center provides: Practice Management Acquiring a practice Business consulting Business development guides Continuity planning Family meeting resources Hiring, training and managing staff Intergenerational transfer tools NextLevel coaching Referral programs Study groups Succession planning Professional Training Benefits Assistant certification Continuing education Instructor-led training calendar The Resource Center Events calendar Forms Rep relations center Securities America contacts Training resource library Approved Products Advisory services products Brokerage products Variable insurance products Insurance products Research What s trending Marketing Ads and press releases Articles Brochures and flyers Client welcome kit Coordinated brand packages Greeting cards and invitations JumpStart marketing kit Newsletters Postcards and letters Referral builder Seminar tools VIP process
ADVANTAGE WORKSTATION Advantage is your fully-integrated, click-and-go, online workstation, available through Business Center. Place trades, create proposals and manage your accounts all in one place. All of your clients information is retained and used throughout, reducing the need to re-enter account information between tasks. Advantage integrated capabilities included: Complete new account paperwork and open accounts online Get quotes, place trades, check positions and transactions View and print brokerage statements, tax documents and trade confirmations Access cost basis and view account documents Initiate brokerage check requests, EFTs, wires and receive real-time status updates Monitor new business as transactions and accounts are approved Manage office tasks and client appointments Submit advertising pieces online for home office compliance approval Check status of commissions or fees Communicate securely with home office and clients Perform asset allocations Create fee-based proposals and generate financial plans Create on-demand performance reports Review aggregated client assets Update client account information Merge client and prospect lists with Microsoft Word Generate a variety of portfolio reports Create custom reports Mobile check deposit Manage compliance, books and records Accessible through mobile devices CREATING A PAPERLESS OFFICE Solutions for a paperless office include our regulatory compliant image storage system, online document retrieval system, quarterly document distribution service, online scanned image transmittal system and permanent document storage solution. Every piece of business received via mail, fax or scanned transmittal is stored electronically, available online, backed-up daily and archived at an off-site bunkered location. Because the images are stored in our permanent storage system, they are considered original books and records. Thus, paper versions of any image existing on the system are no longer necessary.
Vault This tool allows advisors to transmit, view and download documents stored in our permanent storage system. Vault features Include: Vault Search Allows you to view, download and print documents. Vault Transmit Allows your office to electronically submit new accounts, transactions or other types of business by uploading images or using scan-to-web technology. Document Storage Service Free service providing you with permanent storage of documents online. Submit the documents via Vault Transmit. Our document storage and management system allows paper versions of documents in your office to be shredded, providing an opportunity to reduce or eliminate paper files. Document Distribution Service You can subscribe to receive a periodic digital copy on CD or DVD of the images scanned by and for your office. Electronic Signature Go paperless by using our esignature solution to obtain signatures from multiple signers for select businesses, all electronically. STREAMLINE YOUR OFFICE WORKFLOW Advantage Dashboard This is the quickest way to retrieve consolidated information about your clients, households, office or branch. Dashboard helps you prepare for client meetings, discover hidden opportunities and identify the business trends impacting your office or branch. Completely customized, Dashboard allows you to decide which information is displayed and where. Add, remove and arrange the components of your Dashboard as you wish to return the information most valuable for you. After selecting a client, household, advisor or branch, Dashboard provides an incredible amount of information within seconds. Account Manager Account Manager is a command center for managing client and prospect contact and portfolio information. Brokerage assets, direct-held mutual funds and variable annuities are automatically downloaded and reconciled. The posting module allows you to add other assets, including not-held positions. Create household views, enter contact notes, develop targeted letter campaigns and integrate directly with other account maintenance tools to streamline your office workflow.
Business Center and Advantage Mobile Access You have full functional access from ipad, Android tablet or other mobile devices with the flexibility to place trades, review information and conduct business from any location. Your office can use all features of Business Center and Advantage including pages that use Adobe Flash, Microsoft Silverlight and other technology typically not supported on mobile devices. National Financial Streetscapesm and Pershing NetX360TM Online Tools Get quotes, place trades, check cost basis, check positions and transactions, pull up brokerage statements or tax documents, research individual investments, follow the market and more. Additionally, National Financial and Pershing offer Mobile Check Deposit through free smartphone and tablet apps, allowing you to invest your clients deposits faster than ever. Management Reports Get access to a host of office, compensation, advisory and client approved reports. You can review your commission or advisory fee statements, generate consolidated client reports including portfolio diversification and gain and loss reports, view your performance reports or create custom reports.
CLICK-AND-GO OFFICE MANAGEMENT Add Account Tools Group, complete and print Securities America and sponsor forms required for a new account in one process. With easy-to-complete registration screens, pre-populate existing data, push duplicate data to multiple forms and establish your account immediately using our Online Account Setup option. Obtain esignatures and upload images for processing. Then your office can monitor the process from start to finish through our real-time New Business Status system. Supervision Tools All your supervisory needs, including management reports and non-brokerage trade review, are in one place. OSJs and acting principals can use the system to review and approve business transactions by their advisors. Administration Tools Manage settings for everyone in your office. Create Business Center log-in codes, and customize access to reports, accounts and online services. Track your continuing education status, license holdings and much more. Planning Tools Analyze data to address diverse planning needs. Complex financial concepts are clearly communicated in individualized recommendations using bundled solutions from Finance Logix and Forefield Advisor. Planning features include: Financial planning analysis Dynamic real-time adjustments Daily account and position updates Monte Carlo analysis Educational materials Powerful client access portal Mobile access through smartphone and tablet apps Aggregate using CashEdge Advisor branding opportunities New Business Solutions Add Account Feature allows you to import data to pre-fill appropriate forms, identify missing information and avoid problems. Set Up Account Button transmits data to Securities America, National Financial and Pershing to establish accounts. Direct Sponsor Transactions entered for pre-review by completing a few simple questions. Submitted business is displayed in the Status system showing you every step in the process through approval. Update Account allows you to provide address, suitability and other changes to one or multiple accounts with just a few clicks.
Account Servicing Submit money movement and position management requests online. Report issues and track resolutions, anytime online. Follow the progress of your request from submission to solution. Managed Opportunities Our fee-based wrap account program, Managed Opportunities, provides access to money managers. It employs mutual fund asset allocation strategies and separate account portfolios invested across the risk spectrum and asset classes. Web Mail Web Mail is our secure email platform. It uses the power of Microsoft Outlook Web Access with the convenience of Business Center to provide a powerful messaging tool that can be synced to your smart phone. To avoid the risk of identity theft through traditional unsecured email, Web Mail protects your clients by sending encrypted messages containing confidential information. e*star As your daily email news source, this newsletter delivers home office news, helpful tips and information on third-party programs and services.
COMPREHENSIVE WEALTH MANAGEMENT Use account aggregation through Securities America s planning tools or Albridge Wealth Reporting, in conjunction with CashEdge, to analyze and report on your client s complete financial picture. Albridge Wealth Reporting Albridge Wealth Reporting is a web-based consolidated performance reporting application allowing you to produce client reports on-demand. You can quickly create and distribute a variety of performance, asset allocation, holdings, transactions, benchmarking and cost basis reports to your clients. You will be able to create account groups, choose from more than 35 client reports, access advisor reports to help manage your business and generate batch reporting to automate the creation of reports. An optional client view feature allows you to extend report capabilities to clients online using a password protected, secure connection. Albridge will help you retain existing clients, attract new business and differentiate yourself from your competition by helping you provide superior service. Albridge Account Aggregation Powered by CashEdge This tool combines CashEdge s AllData solution with the Albridge Wealth Reporting solution, delivering a holistic financial snapshot of client portfolios. Your clients can add held-away assets from over 10,000 sources into Albridge. The end result is a more complete picture of a client s portfolio resulting in better service and increased client loyalty. Finance Logix with Account Aggregation This system integrates account aggregation from CashEdge or ByAllAccounts into the Finance Logix client portal, providing you and your clients with a holistic view of their financial situation. You are equipped with the knowledge to create an accurate financial plan. MEETING YOUR CLIENTS NEEDS WITH TECHNOLOGY Today s sophisticated clients want to conveniently view and manage their assets online. Regardless of the clearing platform(s) you choose, Securities America s technology lets you offer your clients online and mobile access to view accounts, make trades, deposit checks and elect to receive documentation electronically. Albridge Client View Albrdige allows your clients to view reports and consolidated assets from a personal login. Additionally, CashEdge is available to your clients with account aggregation, providing a better picture of your clients financial status and needs.
Wealthscape Investor SM National Financial s web-based portfolio management service lets your clients view their account positions, balances, history and order status. It also lets them change reinvestment instructions, deposit checks and much more. Available to all National Financial clearing advisors free of charge, this is a self-enrolled service, meaning your clients can register themselves. Wealthscape Investor also facilitates the electronic delivery of statements, confirmations, prospectuses, annual and semi-annual reports and proxies. Statements are available as far back as ten years, and trade confirmations as far back as seven years. Wealthscape Investor can link information to Turbo Tax and Quicken. Clients who have established Wealthscape Investor logins can download the mobile app or access the website on other devices. NetXInvestor NetXInvestor is Pershing s online client portfolio management resource. Using Pershing s enhanced security login procedure, clients can safely access their account summary, holdings, history, projected cash flows, balances and 15-minute delayed quotes on thousands of stocks, options, mutual funds and indices. Your clients can eliminate paper statements, tax reports and trade confirmations, view up to ten years of account statements, seven years of tax statements, three years of trade confirmations and deposit checks using the NetXInvestor mobile app. Prospective Advisors: 800-989-8441 Current Advisors: 800-747-6111 www.securitiesamerica.com Securities America, Inc., Member FINRA/SIPC. Securities America Advisors, Inc., an SEC Registered Investment Advisor. Copyright 2017, Securities America. All Rights Reserved. For Broker/Dealer Use Only.