National Life Group’s Broker/Dealer ESI

Equity Services Inc, did not want to “outlaw” texting or insist that texting with a client was done on a particular web based system. Instead, they wanted to offer their Reps and Advisers a compliant mobile communication solution on their own phones as part of their technology package. And while the Reps and Advisers want to strengthen their bonds with clients and grow ROI with texting, they also sometimes need to recharge. Almost always, when a client sends a text message, there is an expectation for a speedy response. They needed a way to set boundaries and expectations with the technology.

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“The integration between Microsoft 365 and CellTrust, from a compliance perspective, is remarkable. Our ability to apply the Microsoft Information Governance policies to the information that we bring in from CellTrust is a game changer.” Ryan Barke, General Counsel and Chief Compliance Officer, Visionary Wealth Advisors

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Leverage Financial Advisory

Now, as a small business owner, all of Brian’s clients have what they call their Leverage Number, which they now text or call when they want to communicate with him about their finances. The SL2 desktop version enables Brian to text from his computer or his phone and everything is synched. SL2 separates his business life from his personal life, essential for a small business owner – especially given that part of his pitch to his clients is they are never going to wait on hold – SL2 has helped him deliver on that promise. It also significantly reduces his response time while providing peace of mind knowing that all business related text messages are captured and auto-archived for eDiscovery and compliance.

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Anderson Financial Strategies

SL2 separates personal and work activity at Anderson Financial Services on the same smartphone by deploying a separate Mobile Business Number™(MBN). AFS changed their company signature to include their SL2 MBN, which has now become the company business number. AFS advisors can either text from the MBN directly from their personal smartphone or from their computer desktops or tablets. In addition to empowering clients on their preferred communication channel and helping AFS deliver on its mission, SL2 has dramatically reduced response times. SL2 compliant text messaging is driving productivity with responsive communication at Anderson Financial Strategies while in the office or on the go.

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Payne Capital Management

Prior to CellTrust SL2, the Payne Capital Management team had to explain to their clients that they couldn’t text message with them due to regulatory compliance. It was either that or walk around managing two cell phones – their personal and one that belonged to the company. When an advisor did have to respond or send a text message, they would have to make a screen grab to archive every work-related text message they had sent on their personal mobile phone. They also preferred not to share their private mobile phone numbers.

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Download Garden State Securities Case Study pdf

Garden State Securities, Inc.

As a brokerage firm, we saw that we could no longer rely solely on email or phone calls anymore and needed to add compliant mobile communication channels as quickly as possible. As this is a relatively new technology space, until we found CellTrust – we found it somewhat challenging to find a vendor who wasn’t new to the space, had a good reputation and, most importantly, was familiar with the highly regulated financial services industry.

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Anonymous Independent Wealth Management Advisory

As we all had iPhones, we soon discovered that it was very difficult to find a vendor who could provide us with a solution which would work with the high level of security on the iPhone. Until we found CellTrust SL2, the solutions we found could not differentiate between personal and business text messages on the device. This meant an all or nothing approach. We either had to archive all text messaging on the device – both personal and business – or none. We even considered carrying around two phones, but soon determined that would be expensive for the firm and inconvenient for employees.

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