Transamerica Financial Advisors, Inc. (TFA), an indirect subsidiary of AEGON N.V., provides investments and financial planning to clients nationwide. With a network of more than 700 registered representatives, 42 offices of supervisory jurisdiction (OSJ) branches and 51 home office staff, TFA is a rapidly growing enterprise whose independent representatives faced the growing cost of paper-based processes: misplaced documents, time-consuming manual workflows, express-mail costs and file storage expenses.
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Established in 1993 as a full service broker-dealer, Workman Securities provides comprehensive services to registered representatives and their clients. But paper-based processes were impeding staff’s ability to provide quality services in a compliant manner.

“We used to print out e-mails to conduct surveillance,” remembers Operations Manager Kelly Buda. “And when you consider we have over 260 representatives and home office staff, that was a lot of paper.” . . Full story »

Credential Securities, Inc., employs more than 2,000 staff and representatives who provide integrated wealth management solutions and services to Canadian credit unions, with over $10.8 billion in assets under management. But helping clients achieve their financial goals came with a price—overstuffed file cabinets, difficulty locating information and the stress of complying with regulatory requirements. . . Full story »

When Commonwealth Financial Network of Waltham, MA, the nation’s third-largest privately-held broker-dealer, decided to adopt a standardized document management system for its 1,000 financial planners from coast-to-coast, it put its reputation as a technology leader on the line.

But after a 12 month review of 32 software packages, Michael Sundberg, Commonwealth’s Due Diligence Officer, recommended Laserfiche to CIO Ed Bell, and the solution has been working well ever since. . . Full story »

Rigorous auditing and regulatory mandates required a reliable, transparent solution for tracking and managing records. And a premier financial firm like Geneos couldn’t afford any obstacles to sharing critical information across 60 branch offices and as many as 150 remote locations. Geneos needed a system that could keep up with its success, tracking and exchanging thousands of records and documents. . . Full story »

For many businesses, the vision of a paperless office is often the driving force behind implementing digital document management. For Professional Planning Service of New Hampshire (PPS), going paperless while maintaining the separation between two distinct business interests was giving staff double vision. But by implementing a Laserfiche® digital document management system, PPS has avoided mixing their two business’ documents during their transition to a paperless environment—and improved efficiency and service quality along the way. . . Full story »