Technology is one of the most important considerations when choosing a broker/dealer. You need a company with technology that allows you to become more efficient, productive and profitable. That's why Securities America provides you a powerful suite of technology applications and services by using the Web to its fullest potential.

You can expect creative solutions to your business needs delivered instantly to you wherever you are, and these solutions can adjust rapidly to meet your changing needs. You also have access to the information you need 24 hours a day, from any Internet connection in the world.

Account Manager is a unique, browser-based application that integrates Brokerage business with Non-Brokerage Mutual Funds and Variable Annuities to create a client/prospect/lead data source for dynamically managing your office. This service merges the functionality of traditional stand-alone applications into one full-office solution. Account Manager offers contact and relationship management, account reporting, cost basis maintenance, and task/event management tools. Track your client phone calls, letters, and other correspondence, and use the database to target clients by category. Transactions, positions, and balances are downloaded, reconciled, and stored in a centralized database at Securities America. Account Manager integrates with other account maintenance applications to make it easy to enter new transactions, complete new account paperwork, view scanned images, start financial plans, update client account information and much more. Account Manager is part of the no-cost e*Office Advantage solution available to everyone in your office. Now you and your team can focus more time on building relationships and growing your business!




Consolidated Performance Reporting is perhaps the single most important document that is generated for representatives and clients. To help you fully understand a portfolio's performance, a complex consolidation of investment performances is summarized in an easy-to-read format for representatives and clients. 

Streetscape is the online research and trading solution for representatives clearing through National Financial Services, LLC (NFS). With this user-friendly, internet-based trading and research station you can place stock, mutual fund, and option orders in seconds from any internet-connected computer and receive immediate confirmation. You have access to market data with real-time static or streaming options, dynamic intraday client account information, cost basis input and reporting, various research services, online trade confirms, monthly statements, and tax documents. You can tailor Streetscape to fit your practice's unique needs by selecting from a variety of service levels.

NetExchange Pro is an Internet or Microsoft Windows-based account management program available to investment professionals who clear through Pershing Investments, LLC. This platform provides the tools you need to serve your clients in a convenient, timely, and cost-effective manner. You can efficiently access client accounts, enter and review mutual fund, equity, fixed income and option orders, get real-time quotes, and obtain the latest news and investment research. You can also take advantage of on-line applications such as E-Document Suite (view confirms, statements, tax statements, and tax guides), Online Documents (review submitted client paperwork), Items For Attention (IFA) (a consolidated source for viewing margin notifications, incoming and outgoing asset transfers, reorganization notices, required minimum distributions (RMDs) and options in the money), eAnalytics (a comprehensive reporting tool), Advisor Tools (performs Asset Allocation, Portfolio Modeling, Equity and Mutual Fund Order Blasting, and Portfolio Rebalancing), and Portfolio Evaluation Service (PES) (a complete tax lot accounting and performance measurement tool for maintaining cost basis).

AdvisorCHANNEL is software primarily tailored for the Registered Investment Advisor who clears through National Financial Services, LLC (NFS). It is an analysis, trading, and reporting system encompassing order entry, portfolio management, and account management functions. The Account Manager module of AdvisorCHANNEL provides electronic order entry for mutual funds, stocks, and extensive account information and customizable data fields for tailoring your business. The Allocator Pro module is an order management and account analysis feature that helps automate the tedious process of analyzing the potential impact of an investment strategy on portfolio holdings. As a whole, AdvisorCHANNEL enables you to create model portfolios, assign accounts to the models and rebalance entire groups of accounts in mere minutes as often as you deem appropriate.

Planning Tools  is Securities America's online service for financial planning, asset allocation, and professional financial educational information. Planning Tools combines two great products: SunGard's Planning Station and Forefield Advisor. Planning Station offers asset allocation and financial planning modules to analyze data to address diverse planning needs from the most basic goals to comprehensive planning. Complex financial concepts are clearly communicated in individualized recommendations. Additional features include scenario comparisons, what-if modeling and Monte Carlo simulation. Client and prospect information integrates directly into Planning Station to reduce data entry requirements. Forefield Advisor provides high-quality, client-ready literature on a wide range of financial topics and includes access to accurate and extensive financial planning ideas, strategies, and tactics and includes discussions of alternatives and tradeoffs. Forefield Advisor offers helpful decision tools, illustrations, and an easy-to-use presentation manager to produce client-tailored educational documents.

WealthCheck  is an online account aggregation solution with wide-ranging capabilities to gather account and personal data. WealthCheck is a triple-threat technology providing clients wtih "one click, one view, total access" to:

• All of their Securities America brokerage and non-brokerage accounts via the internet.
• Online consolidated outside investment, banking and insurance accounts that are updated daily for online-sourced data.
• Online document storage for easy access to important financial documents.

The WealthCheck "one click, one view, total access" capabilities will help you to better serve your clients by allowing you to see a more wholistic view of their financial lives. Think of it as a type of net worth statement. Using WealthCheck can help you manage more of your clients' assets held outside of Securities America, as well as their other financial matters. You'll truly beome your clients' sole, trusted wealth manager when you're able to provide additional planning services for their outside assets, offer liability management strategies after seeing your clients' full financial situation, and propose insurance solutions to better meet their needs.

Albridge Wealth Reporting™ is Securities America's consolidated performance reporting solution. It gives you a host of extremely robust performance reporting abilities. In fact, the heart of the Albridge application is the Client Reports feature. Advisors can run over 20 reports on any of the portfolios with which a client is associated for an accurate snapshot of a client's holdings. This reporting includes both commission-based and fee-based assets, as well as non-brokerage business. A Batch Jobs feature lets advisor automate compiling and preparing client reports. The reports can go to the advisor as printable files, OR be sent directly to clients via email. Albridge Wealth Reporting also provides a way for clients to view their account information directly online.

WealthCheck and AlbridgeTogether help advisors get their arms around their clients' complete financial circumstances. Working hand-in-hand, WealthCheck and Albridge Wealth Reporting provide advisors with insight into each client's complete financial picture, provide both advisors and clients a deeper, clearer understanding of their investment performance, and provide more confidence that both advisor and client are in step with the client's strategies and plans.

Office Management

• Office Administration Tool enables office managers and representatives to establish customized access to online services and reports. It supports all job functions within your office, from a part-time file clerk who requires little or no access to an Office Manager who has complete control to administer the office for you.
  

   
• Management Reports provides you a host of pre-designed online reports or utilize a customizable report generation tool to assist you with account information detail and analysis. Categorized as Office, Compensation, Client-Approved, Advisor, and Supervision Reports, the pre-designed reports include such items as brokerage confirms, daily sales blotters, security cross reference, moneylines, commission and fee statements, SAA performance, client portfolio diversification, and client realized gain and loss. The pre-designed reports help make managing your office a snap!

   
• FastForms: Need additional guidance for completing new account forms? Interested in eliminating wasted time re-keying the same information over and over to populate multiple forms? FastForms is your answer! Enter the account and registration type desired. Let the FastForm wizard guide you. You can use information from an existing record to populate the wizard, enter the information from scratch, or use a combination of both. Once entered, you can auto-populate data into forms in one step!
  

   
• Online Forms are available ala carte or by registration. you can select them from Forms Ala Carte and complete them online, or print them for manual completion later. Forms by Registration shows you all required and optional forms that apply to different account type and registration combinations. Assistance is available to help you choose the correct forms the first time!
  

   
• Account Maintenance Tools help you update existing accounts by auto-populating data that has been provided on prior account applications. The tools automate the non-brokerage process, resulting in integrated brokerage and non-brokerage sales blotters, and received checks and certificates blotters. You can also access permanent electronic books and records at the home office, thereby eliminating the need to print and file required documents like brokerage confirms and commission statements.
  

   
• Account Update eliminates the need to have your client sign an account update form. You can simply go online and update client information with the click of a button! Securities America will then send a letter to the client to verify the information.
  
   
• Solutions for a Paperless Office is your online books and records source. Securities America can save you paper, storage space, and filing personnel by providing you with access to WORM-audited (Write-Once-Read-Many) images of scanned documents. Because our scanning process meets FINRA and SEC WORM requirements, you can depend on these images to satisfy regulatory books and records requirements for brokerage confirms, commission statements, online blotters, and brokerage account paperwork.  
  
   
• Non-Brokerage Order Entry allows you to save "snail mail" time by submitting your non-brokerage business online! Simply scan and transmit, or fax, the new account form, sponsor application and any required supplemental forms. The fax cover sheet serves as your order ticket and you can mail the sponsor application directly to the sponsor company! 
  

   
• e*Office Web Mail System is Securities America's secure, electronic messaging system used for e-mail correspondence between you and our home office. The e*Office Web Mail System protects your clients’ confidential information from exposure and potential exploitation.
  

   
• The Online Answer Center allows you to submit requests without ever having to pick up a telephone! You can still pick up the phone and talk to someone in our Rep Relations Department... or you can submite those request online! The Online Answer Center doesn’t take the place of the personal service you receive from Rep Relations, but it DOES offer a great alternative for the many routine requests you may have, AND it gives you a more options for smoother processing.

Client Accessibility - With the MyStreetscape Product (NFS) or NetExchange Client (Pershing), your clients are no longer limited to viewing their account activity on a monthly basis. Details for these two access products are:

• MyStreetscape gives clients full access to view daily information on their balances, positions, 90-day history, order status, account registration data, monthly statements and tax documents. They have the ability to switch from one account registration to another by choosing the desired account number from a drop-down menu. This user-friendly, Internet-based service makes account viewing and trading easy, even for first-time users, and gives you the ability to monitor what your more self-sufficient clients are doing with their online accounts.
  
   
• NetExchange Client gives clients access to their account information including holdings, history and balances, along with stock, option, mutual fund, and index quotes on a 20-minute delayed basis. In addition, clients can find the answers to the most frequently asked questions regarding NetExchange View, explore a Help section for navigational tips, and look up definitions for the different terms used throughout the site.

The Daily e*Star is your email source for home office news, editorial features on market movement, business building ideas, marketing updates, compliance tips, technology updates and much more! New content is delivered daily, and you can partially customize the e*Star preferences to receive the content that most interests you.

The Feedback Forum is an online question and answer forum where your feedback on a variety of issues is sought. Securities America is constantly evolving our products, services, programs, technology, etc. You name it and we're looking to make it better! We'll frequently ask questions to guage our representatives' interests while we develop and implement innovations.