FINRA-Compliant IT for Financial Advisors and Firms in New Jersey
FINRA requires broker-dealers to archive all electronic communications, supervise correspondence, and maintain books and records. We handle the IT side so you can focus on your clients and your practice.
WHO THIS IS FOR
- Registered investment advisors (RIAs) and broker-dealers in NJ
- Financial planning and wealth management firms
- Insurance professionals with securities licenses
- Compliance officers who need IT controls documented for FINRA exams
- Any FINRA-member firm that uses email, text, or instant messaging for client communication
WHAT'S INCLUDED
- Email archiving and retention configuration (Microsoft 365 or third-party)
- Supervised email and social media archiving setup
- Books-and-records compliant storage solutions
- Mobile device management (MDM) for registered rep devices
- Secure file sharing solutions for client documents
- Multi-factor authentication on all business systems
- Endpoint protection and encryption
- Audit-ready documentation of IT controls
- Incident response planning
- Annual IT compliance reviews
WHY A TO Z TECH
FINRA IT Expertise
We understand what FINRA examiners look for on the IT side — archived communications, access controls, and documented policies. We implement it correctly the first time.
Microsoft 365 Specialists
Most financial firms use Microsoft 365 for email. We configure M365 Compliance Center, litigation hold, eDiscovery, and retention policies to meet FINRA archiving requirements.
NJ Financial Industry Focus
North Jersey has a high concentration of financial services firms. We have hands-on experience with the IT requirements of RIAs, broker-dealers, and insurance professionals in this market.
HOW IT WORKS
Compliance Assessment
We review your current IT environment against FINRA Rule 17a-3, 17a-4, and related SEC requirements.
Archiving Setup
We configure your email archiving, retention policies, and supervised communications capture.
Device Management
We implement MDM for registered rep devices to ensure mobile communications are captured and secured.
Documentation
We produce IT policy documentation and evidence packages that can be produced to examiners on request.
Ongoing Review
Annual reviews keep your IT controls aligned with evolving FINRA guidance and your firm growth.
PRICING
FINRA IT compliance work is scoped per firm based on your number of registered representatives, communications platforms, and current compliance gaps. Email archiving configuration starts with a fixed-fee setup project. Ongoing managed IT for financial firms is priced per user per month. Contact us for a compliance review.
Get a Custom QuoteCLIENT RESULT
"A Wayne-based RIA with 8 registered representatives was using personal Gmail accounts for some client communications and had no archiving in place. During a routine FINRA exam prep, their compliance consultant flagged this as a critical gap. We migrated the firm to Microsoft 365, configured litigation hold and archiving for all users, and implemented a social media monitoring solution — all within 30 days before their scheduled exam."
FREQUENTLY ASKED QUESTIONS
Common Questions
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Your IT Needs
No obligation. Free assessment. Real answers from a local NJ technician.