AdvisorVault

Independence, KS - Heritage Brokerage, a FINRA registered broker-dealer has solved their compliance issues using AdvisorVault as their chosen17a-4 D3P partner.

AdvisorVault's expertise in 17a-4 data archiving has joined forces with Compliant Workspace's consolidated 365 Service® to provide FINRA firms with a fully compliant and secure solution for migrating onto Microsoft 365.

AdvisorVault gives broker-dealers a step by step guide on how to simplify your 17a-4 FINRA compliance, especially pertaining to cloud archiving & Microsoft 365 .

Start Ticking the Boxes of FINRA's Cybersecurity Checklist with AdvisorVault's Security Awareness Training Service

AdvisorVault the only FINRA designated third party (D3P) designed for small firms, makes Microsoft 365 17a-4 Compliant, by Allan Lonz, President. AdvisorVault.org

AdvisorVault is now a certified Microsoft partner able to host Microsoft 365 apps for its customers and give them a Compliant WorkSpace in the cloud

FINRA now allows member firms to use the cloud but cloud providers will not act as your designated third party (D3P). So firms need to outsource to a D3P with six key features built into their software before moving to the cloud.

AdvisorVault, today's experts on solving the data archiving demands of SEC rule 17a-4, announces new guidelines for small FINRA firms. By Allan Lonz, President - AdvisorVault

AdvisorVault, the only storage provider for small FINRA firms now has an elegant way to archive cloud data for 17a-4.

Before I put our 17a-4 data archiving solution in place for FINRA firms, I show them a few tricks to help them automate the archiving of electronic records to close their data compliance gaps, By Allan Lonz, President, AdvisorVault