Welcome!

News Feed Item

Smarsh Empowers ProEquities to Leverage Social Media

Smarsh®, the leading provider of hosted archiving solutions for compliance and e-discovery, today announced it has been selected by ProEquities, Inc. to provide LinkedIn, Facebook, Twitter and email archiving services. Smarsh enables ProEquities, a service and growth-oriented broker-dealer for independent registered representatives and financial advisors throughout the 50 states, to meet the needs of its advisors and its IT and compliance departments.

ProEquities prides itself on providing full-service support for its financial advisors. Marketing via social media is critical for today’s financial professionals, and allowing the use of LinkedIn, Facebook and Twitter for its advisors was a priority. ProEquities Director of Marketing Ellen Michael engaged with her compliance and IT departments and, together, they determined that Smarsh offered the best solution to meet their individual and collective needs.

The ProEquities compliance team is confident that, with Smarsh, the company meets the retention and supervision requirements of the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) without piling hours of work onto staff.

“We needed to explore and understand how adding social media would impact our supervision workload,” said James Brangle, senior compliance officer for ProEquities. “Our compliance department had an established set of compliance procedures and processes, and the Smarsh user interface fit well with our workflows.”

Because ProEquities’ IT department was tasked with implementation, it required a seamless migration to the Smarsh platform. The IT team needed reassurance that the implementation and maintenance of the solution would not place a burden on staff or existing systems.

“The implementation was a very collaborative process,” said Marion Yester, technology support manager for ProEquities. “Smarsh worked closely with us to ensure all stakeholder needs were met.”

Stephen Marsh, CEO of Smarsh, said he is proud to work with companies like ProEquities that are leading the charge in financial services by responsibly implementing new communications channels.

“Our recent electronic communications compliance survey reveals the number of electronic messaging channels firms allow employees to use for business purposes has nearly doubled in the past three years,” said Marsh. “ProEquities provides a great example of a broker-dealer that listens to its advisors and provides solutions for their needs, but also approaches its retention and supervision requirements thoughtfully and thoroughly.”

“The beauty is the advisors don’t need to know about Smarsh. They do not have to think about it,” added Michael. “Smarsh helps our compliance team turn a complex and challenging part of our business into something the advisors just don’t have to worry about.”

For more information about ProEquities’ experience with Smarsh, download the case study, Multiple Stakeholders Work Together To Provide Advisors Social Media at www.smarsh.com.

About Smarsh

Smarsh® delivers cloud-based archiving solutions for the information-driven enterprise. Its centralized platform provides a unified compliance and e-discovery workflow across the entire range of digital communications, including email, public and enterprise social media, websites, instant messaging and mobile messaging. Founded in 2001, Smarsh helps more than 20,000 organizations meet regulatory compliance, e-discovery and record retention requirements. The company is headquartered in Portland, Oregon, with offices in New York City, Atlanta, Boston, Los Angeles and London.

About ProEquities, Inc. (www.proequities.com)

ProEquities, Inc., is a service and growth-oriented broker-dealer founded in 1985 for independent registered representatives and financial advisors throughout the 50 states. ProEquities focuses on serving the financial advisor who wants to be independent from a “wire house” environment but seeks a true partnership with an organization that can assist an advisor with a myriad of support functionalities.

Our 1,075 financial advisors maintain contractual freedom without proprietary constraints or product quotas. Our integrity is one of our greatest assets. We practice an open-book philosophy with our advisors, which means all processes are transparent.

Proactive, innovative, and relationship-centered, ProEquities knows each advisor is different. ProEquities promises to listen, think, and respond to each individual in a way that helps each advisor realize their goals and the dreams of the advisor’s clients. We like to think of ourselves as a young, nimble organization which just happens to have over a quarter of a century’s experience.

More Stories By Business Wire

Copyright © 2009 Business Wire. All rights reserved. Republication or redistribution of Business Wire content is expressly prohibited without the prior written consent of Business Wire. Business Wire shall not be liable for any errors or delays in the content, or for any actions taken in reliance thereon.

Latest Stories
The Internet of Things will challenge the status quo of how IT and development organizations operate. Or will it? Certainly the fog layer of IoT requires special insights about data ontology, security and transactional integrity. But the developmental challenges are the same: People, Process and Platform and how we integrate our thinking to solve complicated problems. In his session at 19th Cloud Expo, Craig Sproule, CEO of Metavine, demonstrated how to move beyond today's coding paradigm and ...
Application transformation and DevOps practices are two sides of the same coin. Enterprises that want to capture value faster, need to deliver value faster – time value of money principle. To do that enterprises need to build cloud-native apps as microservices by empowering teams to build, ship, and run in production. In his session at @DevOpsSummit at 19th Cloud Expo, Neil Gehani, senior product manager at HPE, discussed what every business should plan for how to structure their teams to delive...
"Venafi has a platform that allows you to manage, centralize and automate the complete life cycle of keys and certificates within the organization," explained Gina Osmond, Sr. Field Marketing Manager at Venafi, in this SYS-CON.tv interview at DevOps at 19th Cloud Expo, held November 1-3, 2016, at the Santa Clara Convention Center in Santa Clara, CA.
"We are a modern development application platform and we have a suite of products that allow you to application release automation, we do version control, and we do application life cycle management," explained Flint Brenton, CEO of CollabNet, in this SYS-CON.tv interview at DevOps at 19th Cloud Expo, held November 1-3, 2016, at the Santa Clara Convention Center in Santa Clara, CA.
"ReadyTalk is an audio and web video conferencing provider. We've really come to embrace WebRTC as the platform for our future of technology," explained Dan Cunningham, CTO of ReadyTalk, in this SYS-CON.tv interview at WebRTC Summit at 19th Cloud Expo, held November 1-3, 2016, at the Santa Clara Convention Center in Santa Clara, CA.
In his keynote at 18th Cloud Expo, Andrew Keys, Co-Founder of ConsenSys Enterprise, provided an overview of the evolution of the Internet and the Database and the future of their combination – the Blockchain. Andrew Keys is Co-Founder of ConsenSys Enterprise. He comes to ConsenSys Enterprise with capital markets, technology and entrepreneurial experience. Previously, he worked for UBS investment bank in equities analysis. Later, he was responsible for the creation and distribution of life sett...
We are always online. We access our data, our finances, work, and various services on the Internet. But we live in a congested world of information in which the roads were built two decades ago. The quest for better, faster Internet routing has been around for a decade, but nobody solved this problem. We’ve seen band-aid approaches like CDNs that attack a niche's slice of static content part of the Internet, but that’s it. It does not address the dynamic services-based Internet of today. It does...
The WebRTC Summit New York, to be held June 6-8, 2017, at the Javits Center in New York City, NY, announces that its Call for Papers is now open. Topics include all aspects of improving IT delivery by eliminating waste through automated business models leveraging cloud technologies. WebRTC Summit is co-located with 20th International Cloud Expo and @ThingsExpo. WebRTC is the future of browser-to-browser communications, and continues to make inroads into the traditional, difficult, plug-in web ...
WebRTC is the future of browser-to-browser communications, and continues to make inroads into the traditional, difficult, plug-in web communications world. The 6th WebRTC Summit continues our tradition of delivering the latest and greatest presentations within the world of WebRTC. Topics include voice calling, video chat, P2P file sharing, and use cases that have already leveraged the power and convenience of WebRTC.
Without lifecycle traceability and visibility across the tool chain, stakeholders from Planning-to-Ops have limited insight and answers to who, what, when, why and how across the DevOps lifecycle. This impacts the ability to deliver high quality software at the needed velocity to drive positive business outcomes. In his general session at @DevOpsSummit at 19th Cloud Expo, Phil Hombledal, Solution Architect at CollabNet, discussed how customers are able to achieve a level of transparency that e...
20th Cloud Expo, taking place June 6-8, 2017, at the Javits Center in New York City, NY, will feature technical sessions from a rock star conference faculty and the leading industry players in the world. Cloud computing is now being embraced by a majority of enterprises of all sizes. Yesterday's debate about public vs. private has transformed into the reality of hybrid cloud: a recent survey shows that 74% of enterprises have a hybrid cloud strategy.
"We're a cybersecurity firm that specializes in engineering security solutions both at the software and hardware level. Security cannot be an after-the-fact afterthought, which is what it's become," stated Richard Blech, Chief Executive Officer at Secure Channels, in this SYS-CON.tv interview at @ThingsExpo, held November 1-3, 2016, at the Santa Clara Convention Center in Santa Clara, CA.
The Internet of Things (IoT) promises to simplify and streamline our lives by automating routine tasks that distract us from our goals. This promise is based on the ubiquitous deployment of smart, connected devices that link everything from industrial control systems to automobiles to refrigerators. Unfortunately, comparatively few of the devices currently deployed have been developed with an eye toward security, and as the DDoS attacks of late October 2016 have demonstrated, this oversight can ...
Fact is, enterprises have significant legacy voice infrastructure that’s costly to replace with pure IP solutions. How can we bring this analog infrastructure into our shiny new cloud applications? There are proven methods to bind both legacy voice applications and traditional PSTN audio into cloud-based applications and services at a carrier scale. Some of the most successful implementations leverage WebRTC, WebSockets, SIP and other open source technologies. In his session at @ThingsExpo, Da...
Kubernetes is a new and revolutionary open-sourced system for managing containers across multiple hosts in a cluster. Ansible is a simple IT automation tool for just about any requirement for reproducible environments. In his session at @DevOpsSummit at 18th Cloud Expo, Patrick Galbraith, a principal engineer at HPE, discussed how to build a fully functional Kubernetes cluster on a number of virtual machines or bare-metal hosts. Also included will be a brief demonstration of running a Galera MyS...