Broker Dealer Services
Backoffice Support
WallStreet*E Financial Services offers you backoffice support through its BrokerWebstation and Advisor Webstation technology platform to give you online reports for account management, balances, cost basis reports, holdings, investment profiles and many other reports to support your independent practice. WallStreet*E’s staff also provides backoffice support for your New Accounts, ACAT, Trading, P&S, Margin and other account needs to give you more time to focus on your asset gathering and account management. All WallStreet*E staff is licensed and has a wealth of experience to help support your business and are trained to help find solutions to your needs.
Compliance
Compliance is a priority at WallStreet*E Financial Services. The firm understands that the cleanliness of one’s license leads to a long-standing relationship in the industry. The firm provides compliance support at the non-branch and branch levels with detailed and tailored office and product procedures as well as online task managers to help support your supervisory compliance. All of our compliance materials are available online through our compliance web portal that allows you to manage your compliance effectively and efficiently. Additionally the BrokerWebstation technology has compliance tools that help maintain your compliance. WallStreet*E manages your compliance from your registration to your continued education requirements and annual compliance requirements to ensure that your business is in full compliance with the regulatory bodies.
Operational Efficiency
We understand your time is very important in your asset gathering, account management and client relationship roles. We have developed our operational systems with you and your customer in mind with easy to use procedures and new account opening. All forms are downloadable available online and our new account form is an online form where you clients can easily submit their form for a quick and easy new account.
Marketing Support
WallStreet*E Financial Services believes in helping you build your practice and assets. We provide marketing support in the form of approved marketing brochures, power point sales presentations and approved television advertisements for your area. If you have any sales and marketing ideas where you need graphical assistance or approval, our design and compliance team will work with you to design your advertisement.
Investment Flexibility
WallStreet*E Financial Services doesn’t mandate the sale of proprietary products or mandate investments according to internal rating scales. We believe in your investment management and allow you to invest your client’s assets within their investment goals and objectives accordingly. Independence means freedom from being told how to invest and what to invest in. Invest with your client’s interest in mind.
Research
Invest your client’s assets with the best research tools available. We provide you with quotes and research tools as well as institutional research reports from Argus Research giving you research reports on equities, mutual funds and fixed income products.
Access to Management
We encourage all of our independents and correspondents to call in to our Management team with any questions, concerns or comments regarding their business, the industry, regulations, compliance or business development. Access to the management team gives you the listening ear and partner you need in your support, development and growth.
Value Added Services
We have several value added services that gives you and your clients greater access to accounts and funds. Our value added services includes online access to your account balances and holdings 24/7 and valet accounts which provides check book and visa valet debit card access to your free cash and money market funds.
