financial services document management

eFileCabinet Document Management Software
for the FINANCIAL INDUSTRY

Financial Professionals work in one of the most complicated and demanding of any industry. You’re expected to have comprehensive knowledge about the latest financial strategies and products, as well as insurance, annuities, asset allocation, and investments, all while keeping client information completely secure and compliant. Managing massive amounts of information is key to successfully managing financial portfolios, and this requires using the right financial services document management solution.

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10 Critical Document Management Rules

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Being a financial advisor isn’t easy—but managing your files and information can be. eFileCabinet’s comprehensive Document Management System (DMS) can revolutionize and simplify your Financial Advisory business. Watch the short video below to see what eFileCabinet did for Ascension Financial Group.

“It’s much easier to access information because we can organize it much better electronically than in a paper file. Filing is easier, scanning is easier, finding things is easier, and we’re much more current. All of that makes the operation more efficient.”

Carlene Patterson, CFP, Founder, and CEO
Ascension Financial Group

Compliance Woes?

No one feels the burden of compliance regulations quite like Financial Professionals. Complicated FINRA and SEC rules can cause great compliance grief for brokers and firms. Many honest firms fall out of compliance due to the sheer magnitude of proper management and timely disposal of records, and human-imposed errors can make audits extremely stressful.

For specific and up-to-date information on document retention policies, download our free article: FINRA Rules for Document Retention: Requirements and Standards.

eFileCabinet is the Solution

The hassle of keeping necessary information in order and within specified time constraints can be eliminated by using an SEC compliant document management system. eFileCabinet offers the industry’s best financial services document management solution for those working to satisfy SEC rules and regulations. You’ll find:

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Automatic time stamp and set compliance retention for each particular document category

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Automatic document deletion when the necessary retention window is complete

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State-of-the-art security features

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Remote document accessibility and permissions for secure access to documents

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Secure and industry-compliant
transfer of materials

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Constant, hassle-free information backup

“eFileCabinet simplified compliance significantly.”

-Larry Boyd, MBA, LUTCF, CLT
Managing Principal of Oak Bridge Financial, LLC

When it comes to compliance and financial advisement, things get complicated. Learn how these successful money managers stay compliant with ease—and with 100% mobility through or financial services document management solutions.

“These Wealth Advisors Make House Calls—with a Dozen Filing Cabinets in their Car”

Keep Your Clients Happy

Sometimes it feels like clients think you have a financial crystal ball. It’s a big responsibility to manage multiple client portfolios in an ever-volatile market. Client expectations can be far from reasonable, and emotions run high when it comes to money.

With eFileCabinet, you can immediately access original applications, documents, and client notes. Larry Boyd, Founding Partner of Oak Bridge Financial, LLC, explains this benefit:

“Often when I’m sitting down with a client, and they have a question about a policy or an account, they don’t remember our conversations from last year or years earlier. With eFileCabinet, not only can I look up the current situation, I can go back to the original application and notes and say, ‘Well, you know, originally this is what we discussed.’ That’s a big value.”

-Larry Boyd, MBA, LUTCF, CLT
Managing Principal of Oak Bridge Financial, LLC

Ease client concerns and avoid the ‘broker blame game’ whenever there is a question about a policy or an account. With immediate file access, potential issues are averted through easy proof of documentation.

Files, Files Everywhere!

The volume of files and information you’re responsible for can be staggering. Storing and managing financial documents in paper format is simply no longer viable for most companies.

Are Your Documents Secure?

Do You Have Good
Data Security Habits?

Find out how your firm is doing
when it comes to protecting critical data.

Virtual scams are on the rise, and virtual thieves are targeting financial advisors. Cybersecurity should be front and center on your radar, as security breaches could potentially cost you your business. (Read more about this frightening threat to both investors and wealth managers here.)

SecureDrawer

Protect your firm and your clients by choosing eFileCabinet, which includes the #1-rated SecureDrawer, a web portal that allows you to safely send files to your clients. Never worry about the security of your files or email again—this is network file sharing made easy.

Let eFileCabinet Ease the Load

Your job is demanding. Your responsibilities are many and varied, and the potential for liability is great.

Here are just a few of the DMS Superpowers that can help make your job significantly easier:

Workflow

Chances are you work with lots of repeated documents in repeated patterns. Automated workflow will save you lots of hands-on time, as documents are automatically routed from creation/collaboration, revising, and versioning, to evaluation and approval.

With eFileCabinet, you can design workflows that are as simple or complex as your firm requires. You can also establish multiple workflows, making it easy to map out automated file routing for the different types of documents you produce or receive on a regular basis.

Want to learn more about workflow?

Zonal OCR

If you work with lots of forms (and we know you do), Zonal OCR is like hiring a super-speedy, extra-efficient virtual assistant who specializes in data entry. Using basic OCR—optical character recognition—Zonal OCR recognizes and auto-populates data for you. It even automatically files the document in eFileCabinet. Setting up Zonal OCR is easy—it takes less time than training a new employee on data entry.

SideKick

You may have to see it to believe it, but this small, blue orb is a fiercely powerful function that can change your firm forever! Your SideKick sits right on your desktop, and it’s flexible enough to handle virtually any task you send its way. It’s dynamic, really fast, and synchronizes immediately with your other programs.

You’ve lived long enough without this office superhero—let it help do your heavy lifting today!

Save Time. Make Money.

Poor information management makes the already complicated world of Financial Advisement and Brokerage even more difficult. Streamline your workload and your costs by using the most secure, robust, and user-friendly document management system available. To learn how eFileCabinet can help your business increase efficiency and compliance with ease, call us at 801-374-5505, chat with us on this page, or fill out the form to request contact from a financial industry efficiency expert.

“My experience with eFileCabinet has been nothing but wonderful.”

-Ray Johns, Owner, R.W. Johns Financial Group

Customer Testimonials

“Our profitability and efficiency have skyrocketed since we implemented eFileCabinet. I can’t imagine anybody functioning in this day and age not being paperless.”
Patrick Ballard, Ballard & Co.
Purchasing eFileCabinet has made life for me and the rest of our small group easier. We were in need to be able to use a true document system with the ability to take notes and one place to store all paperwork. This has saved us time, money and SPACE! We have eliminated a 5-drawer and 4-drawer legal size cabinets, freed up space and are down to one drawer for what I call vault documents. We are saving approximately $7,440.00 per year and have freed up approximately 24 feet of space. eFileCabinet has made my life easier and that makes me happy!
Penny Nevarez, Suisun City, California
“I found eFileCabinet, and the benefits of using it include the ability to scan rather than copy, and I can easily put my scanned documents into eFileCabinet without opening eFileCabinet. With electronic storage, I find I have saved on paper, supplies, and storage costs. I am also able to retrieve files more rapidly when a client calls without having to leave my desk. Hence, I am more productive, but do not get as much exercise as I used to running to the file room. I have not tracked specific metrics, but I do know there is a time savings from when I was on a paper file system since I would put the client on hold or call him back when I had the file in hand. Now, it is just a couple of computer clicks.”
Michael Hanrahan CPA, CFP, CFE, MCBA, Anchorage, Alaska
“We originally looked into document management software because our firm was rapidly expanding and our office space was being taken over by big, bulky, depressing file cabinets that were being stuffed to the brim. We have only been with eFileCabinet for about a month but we are already seeing benefits in our office. Our efficiency and speed to produce a document for a client is lightning fast with the capabilities to email the document securely. Since our firm has only had a short time with eFileCabinet we are unable to generate specific numbers at this time but I can already see our ink, paper and labor costs have been reduced. We are very happy with the efficiency and speed of the scanner recommended by the eFileCabinet representative. We have never had luck with scanners and have had to purchase multiple scanners before and/or repair our scanners, which is costly. The combination of eFileCabinet with these scanners will cut our overall cost greatly!”
Christine Sampson, Abington, Massachusetts
“We wanted to increase our productivity by being more organized. We hoped to get rid of our filing cabinets. Also, we wanted to help save trees! We definitely experienced an increase in productivity upon switching to eFileCabinet. Instead of leaving workstations and digging in the files, our staff can just open eFileCabinet for whatever files they need. eFileCabinet’s search feature is a breeze, which really helps a lot. As for the money we’ve saved, we have reduced our orders for both paper and ink toners since signing up for eFileCabinet.”
Carol Catapang, Office Manager, Donald L. Moore & Company
“A benefit to using eFileCabinet software is the security and safety of our clients’ information. We definitely save money in mailings and paperwork, because instead of mailing items out, they can access it digitally. We save approximately 3 hours a week by not mailing out, organizing, filing away, etc., paperwork. I am not sure exactly how much we save a year, but we definitely save a ton!”
Sheena Wilson, Rochester, Michigan
“I was using another vendor and liked what we saw with eFileCabinet and the simplicity of use. The mobile app is great!! And now we can access everything from one central area. It saves us at least 3 – 6 hours a week from going to get files out of a file cabinet.”
Brad A. Bosh, Farm Bureau Financial Services

About eFileCabinet

eFileCabinet is a leading provider of electronic document management software and financial services document management solutions for small to mid-sized businesses, as well as for departments of larger businesses. With electronic sharing capabilities and paperless filing, you can cut out pounds of paper and save your business time and money. With features like eSignatures, optical character recognition, instant electronic sharing and cloud-based file storage, eFileCabinet can bring your office into the paperless era.

Call: 877‑574‑5505

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