Heritage Brokerage, a FINRA Registered Broker-dealer, Solves Compliance Issues Using AdvisorVault

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Elevate Your Compliance Game with AdvisorVault: Heritage Brokerage’s 17a-4 Trusted Partner

Independence, KS – June 23, 2023 — / BackupReview.info / — Heritage Brokerage, a distinguished FINRA broker-dealer, has successfully overcome significant challenges related to their technology infrastructure and data compliance with the help of AdvisorVault, a trusted provider of comprehensive solutions.

Recognizing the potential gaps in their compliance efforts, which included an end-of-life Windows server, ineffective file syncing processes using ShareFile, and an outdated email service from Intermedia, Heritage Brokerage went searching for a solution that would not only transition their firm to Microsoft 365 but also ensure strict adherence to 17a-4 regulations. This search led them to AdvisorVault, and their game-changing Consolidated 17a-4 D3P service.

Heritage Brokerage’s Chief Compliance Officer, Donald Wiggins, praised AdvisorVault’s streamlined approach, stating, “With their Consolidated 17a-4 D3P service, AdvisorVault was able to address multiple compliance gaps for us simultaneously. They helped migrated us to Microsoft 365 and provided a compliant archiving plug-in that automatically safeguarded all our cloud-stored data. This enabled us to retire our old server, while giving us the ability to leverage Exchange Online with SharePoint for enhanced collaboration and efficiency.”

Small firms – like Heritage Brokerage, often find themselves grappling with disparate technology systems and lacking a unified approach to data management and compliance. Recognizing this common struggle, AdvisorVault specializes in providing comprehensive solutions that streamline the transition to Microsoft 365 while ensuring strict 17a-4 compliance, effectively resolving the technology-related challenges faced by small firms.

AdvisorVault’s Consolidated 17a-4 D3P service offers a range of key features that address the unique needs of firms like Heritage Brokerage:

Seamless Transition to Microsoft 365: AdvisorVault facilitates a smooth and hassle- free transition to Microsoft 365, empowering firms to leverage its comprehensive suite of productivity and collaboration tools.

Compliance-Driven Archiving: The service includes a compliant archiving plug-in that automatically protects and archives all data stored on the Microsoft Cloud, ensuring strict adherence to FINRA’s regulatory requirements.

Enhanced Collaboration with SharePoint: AdvisorVault empowers firms to leverage the powerful collaboration capabilities of SharePoint within Microsoft 365, enabling efficient and secure collaboration among team members.

Expert Tech Support: AdvisorVault offers robust technical support and guidance, ensuring that firms have a reliable partner to navigate any technology-related challenges that may arise during the transition and beyond.

With AdvisorVault’s Consolidated 17a-4 D3P service, Heritage Brokerage successfully addressed their technology and compliance concerns, providing them with a comprehensive solution tailored to their unique requirements. Small firms no longer need to rely on multiple providers or grapple with disjointed technology systems. AdvisorVault’s expertise and commitment to seamless compliance empower firms to embrace Microsoft 365 and achieve comprehensive data compliance effortlessly.

The benefits of AdvisorVault’s solution extend beyond Heritage Brokerage. The challenges faced by small firms in the financial services industry are not unique to a single organization. Many firms encounter similar issues when it comes to technology infrastructure and data compliance. By partnering with AdvisorVault, these firms can benefit from a proven and reliable solution that ensures compliance excellence.

AdvisorVault’s expertise and customer-centric approach make them an ideal partner for small firms navigating the complex landscape of technology and compliance. Their Consolidated 17a-4 D3P service enables firms to seamlessly transition to Microsoft 365 while ensuring strict adherence to 17a-4 regulations, providing them with peace of mind and allowing them to focus on their core business operations.

The advantages of AdvisorVault’s solution extend beyond technology and compliance. By leveraging Microsoft 365’s powerful suite of productivity and collaboration tools, firms can enhance their operational efficiency and streamline their workflows. The integration of Exchange Online with SharePoint enables seamless communication and collaboration among team members, regardless of their location. This promotes real-time collaboration, document sharing, and version control, improving overall productivity and enabling teams to work together more effectively.

Moreover, AdvisorVault’s Consolidated 17a-4 D3P service offers significant cost savings for small firms. By transitioning to Microsoft 365, firms can reduce their reliance on on-premises infrastructure, minimizing hardware and maintenance costs. Additionally, the seamless migration process and robust technical support provided by AdvisorVault ensure a smooth transition, minimizing disruptions to daily operations and reducing potential downtime. This allows firms to optimize their resources and allocate more time and budget to strategic initiatives that drive growth and profitability.

The success story of Heritage Brokerage serves as a testament to the value that AdvisorVault brings to the financial services industry. By partnering with AdvisorVault, firms can not only address their immediate technology and compliance challenges but also gain a long-term competitive advantage. The consolidation of data management and compliance within a single, comprehensive solution simplifies operations, reduces complexity, and ensures seamless regulatory compliance.

“With AdvisorVault’s Consolidated 17a-4 D3P service, we have achieved a new level of data compliance excellence,” said Donald Wiggins of Heritage Brokerage. “The smooth transition to Microsoft 365 and the secure archiving of our data have not only resolved our compliance concerns but also enhanced our collaboration and overall operational efficiency. AdvisorVault has been a trusted partner throughout the process, providing expert guidance and support. We highly recommend their services to any small firm seeking to overcome technology and compliance challenges.”

To learn more about AdvisorVault and their Consolidated 17a-4 D3P service, visit their website at www.advisorvault.com

For inquiries, please contact Allan Lonz at alonz@advisorvault.org or via phone at 416-985-0310.

About AdvisorVault:
AdvisorVault is a leading provider of comprehensive solutions designed specifically for FINRA-regulated firms. With their Consolidated 17a-4 D3P service, AdvisorVault empowers small firms to seamlessly transition to Microsoft 365 while ensuring strict 17a-4 compliance. Their expertise, customer-centric approach, and commitment to technology and compliance excellence make them a trusted partner for small firms navigating the complexities of the financial services industry. Partnering with AdvisorVault allows firms to enhance operational efficiency, achieve data compliance, and gain a competitive advantage in today’s rapidly evolving business landscape.

Note to editors:
For more information about AdvisorVault and their Consolidated 17a-4 D3P service, please contact Allan Lonz at alonz@advisorvault.org or via phone at 416-985-0310

Media Contact:
Christopher Mancini
christopher@advisorvault.com
1-866-732-1407

Source: AdvisorVault

Tags: AdvisorVault, Heritage Brokerage