The ADVISOR STATION™ application provides correspondent brokers and independent financial advisors with a web-based product to manage their prospect database, open new accounts, develop investment goals for clients and ensure regulatory compliance. The ADVISOR STATION™ platform contains seven modules intended to centralize and automate multiple client service functions, including:

• Contract Relationship Management (CRM) – Generates a comprehensive repository of all prospect related information.
  
  
  
• Prospect and Client Profile Establishment – Gathers all relevant data on prospective prospects and clients, including financial information, assets, employment history, marital status and dependents, investment goals and risk tolerances.
  
  
  
• Goal Setting – Utilizes asset allocation and situation analysis tools to develop financial goals for retirement, estate planning, insurance of philanthropic goal setting.
  
  
  
• Regulatory Compliance – Stores relevant client data and can run compliance checks to satisfy the regulatory requirements of the SEC, Patriot Act or other securities laws.
  
  
  
• Account Enrollment – Facilitates the creation of accounts with clearing firm, including the automatic population of key information fields.
  
  
  
• Forms Generation – Automatically selects and populates the forms required by the clearing firm to process a transaction or account request and stores electronic copies.
  
  
  
• Securing and Access Control - Establishes permissions-based and data level access to ensure account privacy and security.

ADVISOR STATION™ shares many common technical features with REVPORT™, including database interoperability, a modular architecture and a brand able, browser-based client interface.

The graphic below shows the ADVISOR STATION functions and the associated Advisor systems and tasks that feed and receive data from ADVISOR STATION™.