Click here to close now.




















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 3rd International WebRTC Summit, to be held Nov. 4–6, 2014, at the Santa Clara Convention Center in Santa Clara, CA, 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 15th International Cloud Expo, 6th International Big Data Expo, 3rd International DevOps Summit and 2nd Internet of @ThingsExpo. WebRTC (Web-based Real-Time Com...
The 17th International Cloud Expo has announced that its Call for Papers is open. 17th International Cloud Expo, to be held November 3-5, 2015, at the Santa Clara Convention Center in Santa Clara, CA, brings together Cloud Computing, APM, APIs, Microservices, Security, Big Data, Internet of Things, DevOps and WebRTC to one location. With cloud computing driving a higher percentage of enterprise IT budgets every year, it becomes increasingly important to plant your flag in this fast-expanding bu...
Moving an existing on-premise infrastructure into the cloud can be a complex and daunting proposition. It is critical to understand the benefits as well as the challenges associated with either a full or hybrid approach. In his session at 17th Cloud Expo, Richard Weiss, Principal Consultant at Pythian, will present a roadmap that can be leveraged by any organization to plan, analyze, evaluate and execute on a cloud migration solution. He will review the five major cloud transformation phases a...
The 5th International DevOps Summit, co-located with 17th International Cloud Expo – being held November 3-5, 2015, at the Santa Clara Convention Center in Santa Clara, CA – announces that its Call for Papers is open. Born out of proven success in agile development, cloud computing, and process automation, DevOps is a macro trend you cannot afford to miss. From showcase success stories from early adopters and web-scale businesses, DevOps is expanding to organizations of all sizes, including the ...
SYS-CON Events announced today that the "Second Containers & Microservices Expo" will take place November 3-5, 2015, at the Santa Clara Convention Center in Santa Clara, CA. Containers and microservices have become topics of intense interest throughout the cloud developer and enterprise IT communities.
Culture is the most important ingredient of DevOps. The challenge for most organizations is defining and communicating a vision of beneficial DevOps culture for their organizations, and then facilitating the changes needed to achieve that. Often this comes down to an ability to provide true leadership. As a CIO, are your direct reports IT managers or are they IT leaders? The hard truth is that many IT managers have risen through the ranks based on their technical skills, not their leadership ab...
IBM’s Blue Box Cloud, powered by OpenStack, is now available in any of IBM’s globally integrated cloud data centers running SoftLayer infrastructure. Less than 90 days after its acquisition of Blue Box, IBM has integrated its Blue Box Cloud Dedicated private-cloud-as-a-service into its broader portfolio of OpenStack® based solutions. The announcement, made today at the OpenStack Silicon Valley event, further highlights IBM’s continued support to deliver OpenStack solutions across all cloud depl...
17th Cloud Expo, taking place Nov 3-5, 2015, at the Santa Clara Convention Center in Santa Clara, CA, 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. Meanwhile, 94% of enterprises ar...
DevOps Summit, taking place Nov 3-5, 2015, at the Santa Clara Convention Center in Santa Clara, CA, is co-located with 17th Cloud Expo and will feature technical sessions from a rock star conference faculty and the leading industry players in the world. The widespread success of cloud computing is driving the DevOps revolution in enterprise IT. Now as never before, development teams must communicate and collaborate in a dynamic, 24/7/365 environment. There is no time to wait for long development...
eCube Systems has released NXTmonitor, a full featured application orchestration solution. NXTmonitor, which inherited the code base of NXTminder, has been extended to support multi-discipline processes and will act as a DevOps utility in a heterogeneous enterprise environment. Previously, NXTminder was packaged with NXTera middleware to configure and manage Entera and NXTera RPC servers. “Since we are widening the focus of this solution to DevOps, we felt the need to change the name to NXTmon...
WebRTC services have already permeated corporate communications in the form of videoconferencing solutions. However, WebRTC has the potential of going beyond and catalyzing a new class of services providing more than calls with capabilities such as mass-scale real-time media broadcasting, enriched and augmented video, person-to-machine and machine-to-machine communications. In his session at @ThingsExpo, Luis Lopez, CEO of Kurento, will introduce the technologies required for implementing thes...
Consumer IoT applications provide data about the user that just doesn’t exist in traditional PC or mobile web applications. This rich data, or “context,” enables the highly personalized consumer experiences that characterize many consumer IoT apps. This same data is also providing brands with unprecedented insight into how their connected products are being used, while, at the same time, powering highly targeted engagement and marketing opportunities. In his session at @ThingsExpo, Nathan Trel...
Whether you like it or not, DevOps is on track for a remarkable alliance with security. The SEC didn’t approve the merger. And your boss hasn’t heard anything about it. Yet, this unruly triumvirate will soon dominate and deliver DevSecOps faster, cheaper, better, and on an unprecedented scale. In his session at DevOps Summit, Frank Bunger, VP of Customer Success at ScriptRock, will discuss how this cathartic moment will propel the DevOps movement from such stuff as dreams are made on to a prac...
Mobile, social, Big Data, and cloud have fundamentally changed the way we live. “Anytime, anywhere” access to data and information is no longer a luxury; it’s a requirement, in both our personal and professional lives. For IT organizations, this means pressure has never been greater to deliver meaningful services to the business and customers.
SYS-CON Events announced today that HPM Networks will exhibit at the 17th International Cloud Expo®, which will take place on November 3–5, 2015, at the Santa Clara Convention Center in Santa Clara, CA. For 20 years, HPM Networks has been integrating technology solutions that solve complex business challenges. HPM Networks has designed solutions for both SMB and enterprise customers throughout the San Francisco Bay Area.