Independent broker-dealers face the challenge of finding new ways to thrive in an ever more complex operational environment. With spiraling costs, increasing regulation and intense competitive pressures, the need for simplified, speedier business processes is imperative.

Laserfiche enables broker-dealers to eliminate the time lags and redundancies of manual transaction processing. Authorized users in the home office, branch offices and the field have instant access to client forms and records, ensuring seamless transaction processing, reducing the costs of managing information and improving collaboration.

The Laserfiche Advantage

  • Comprehensive capture. Capture information from a wide variety of media (paper, e-forms, electronic documents, etc.) and software applications. Laserfiche supports distributed capture.
  • Batch processing. Automatically and centrally extract data from a large number of forms, eliminating the need for manual indexing, sorting and filing.
  • Foolproof security. Prevent unauthorized access to confidential client and transaction information with role-based security features.
  • Validation rules. Ensure compliance and consistency when collecting client data.
  • Intelligent routing and notification. Accelerate transaction approvals and minimize delays by automatically routing information between branch managers and field reps, alerting them to new tasks with automatic e-mails.
  • Remote access. Grant field reps offsite access to content stored in the Laserfiche repository, enabling them to access and upload additional information while in the field.
  • DoD 5015.2-certified records management. Automate records life cycle management in compliance with regulatory requirements.
  • Comprehensive audit trails. Monitor and record all of the activities that occur in the repository to provide complete accountability and transparency enterprise-wide.
  • Easy integration with existing applications. Link into your CRM system, practice management software and other back-office systems to facilitate data exchange.

Build a Foundation for End-to-End Information Management

Content Creation and Capture

  • Generate necessary forms from electronic forms library and populate them with information from the CRM application.
  • Validate information for compliance and submit electronic form signatures.
  • Capture all additional documentation, including paper, faxes, e-mail and Web content, and convert it to a standardized format for long-term retention.
  • Validate information for compliance and submit electronic form signatures.

Field Office System

  • Find information faster and respond to client requests quickly.
  • Provide appropriate documents and data to customers immediately via e-mail.
  • Eliminate the need to store physical records through archival to non-volatile media (SEC 17a-3 and 17a-4).
  • Enable the display of information in context via a fully integrated system and dashboard interface.

Home Office System

  • Complete transaction validations and approvals electronically.
  • Generate order tickets and submit transactions electronically.
  • Log all activities, including electronic transfers, and update electronic blotter.
  • Enable remote audits and reduce the amount of time spent fulfilling requests from outside auditors.

Additional Resources


White Papers

Data Sheets

Case Studies

  • Spire Investment Partners, LLC
    Spire Investment Partners, LLC

    Spire Investment Partners, LLC, relies on Laserfiche to automate critical business processes and simplify the cost of compliance