WealthServ Investments
WealthServ Investments, with its current technological sophistication, has taken the leadership role in providing innovative solutions to the broker-dealer marketplace. WealthServ Investments helps broker-dealers align their business processes and information systems, empowering them to create enterprise value. WealthServ Investments enables broker-dealers to market, sell and transact investments securely, faster and more effectively than ever before.
The Benefits of WealthServ Investments
- Attract new clients
- Keep your existing clients well-serviced
- Beat your competition
- Increase productivity
- Produce rapid returns on any technology investments
- Build your business without huge investments in hardware, staff or training
To learn more about WealthServ Investments, view this interactive demo. 40M, WMV
Client Management
WealthServ Investments handles client and household processing functions as well as client and prospect management, task and appointment processing, and messaging. It also allows the reps to access client accounts and holdings at a glance. Tools to handle scanning, bar code generations for automated document filing, fax management, automated recurring event handling and financial planning tools are also a part of the overall client management functionality that exist in WealthServ Investments.
Connectivity
WealthServ Investments System is designed to handle investment product order entry functions. Through our innovative WealthServ IDEX data interface system, it can easily be connected to any real time trading interface. For Check and App business it also allows direct manual entry and processing of records. The WealthServ Investments is a very flexible data management system and it provides functions for correction of transactions, import of daily transactions, bookkeeping, import client, price files, import and process commission and other relevant files, realtime export of purchase orders, display transaction lists, adjustments and track and monitor unsettled trades.
Compliance System
WealthServ Investments offer enhanced compliance functionality. The compliance functionality include transaction tables with integrity checks, comprehensive check blotter with full compliance warning functionality, functions for trade approval or rejection, audits for rep sale activity and frequency, logs for the audit trail for financial and non-financial changes, displays for client account balances, provides warnings for the compliance officers to manage unsettled and incomplete accounts, and daily workflow processing for Reps and Clients.
WealthServ Investments keeps track of all activity in the database system at all times. The Home Office personnel responsible for data integrity will have the capability to find any duplicate records, data mismatches, bad records or simply incomplete data that mat effect the integrity of the system.
Compensation and Commission Accounting
WealthServ Investments accounting module handles rep commission tracking and payments, distribution and application of incoming commission checks to the Broker-Dealership from direct sources. The commission system allows for a very flexible override system tiered based on account activity and on product types. Users can define unlimited number of split arrangements where the commission splits can be handled per transaction, per account, per client, per product type or sponsor as well as a specific product. The accounting module contains functions to accommodate a full Broker-Dealer account activity tracking with custom defined debits and credit entry system. In addition to the broker-dealer accounting, the accounting module contains a rep accounting system as well as client check tracking systems. All records can be easily exported to a standard accounting and G/L system.
Consolidated Data Reporting
The WealthServ Investments reporting system consists of a fully customizable reporting tool, with on-demand report generation as well as a programmable automated reporting engine. The automated reports can be directly generated on screen and printed on-demand. Alternatively the reports can be generated and saved as "PDF" files that can be e-mailed or stored at the "pending reports" section of the client access.
