Small Broker-Dealer with Limited Options
USE CASE
Providing a Simple, Cost-Effective, and Reliable platform for SMS and Messaging Compliance and successfully passing an SEC audit within six months.
PROBLEM
This 25-year-old broker-dealer firm is exactly the type of gritty, creative, independent RIA shop that America was built on. Their team is always working to meet the customer where they are and, in recent years, that has meant moving a large portion of their communication to text message to match buyer preference. The only problem? The text capture solutions they found were either too complex, too costly, or too unreliable to meet their needs.
SOLUTION
Enter SnippetSentry. Our platform was designed to be just as valuable for a team of 1 as it is for a team of 1000s. After a smooth evaluation period, the compliance officer was confident they had solved a solution that was simple to use and met their reliability concerns. But the CFO even got excited when they learned the pricing included iMessage, Android SMS/MMS, and Whatsapp all for a flat fee without any other surprise fees later.
HIGHLIGHTS
After a seamless evaluation period, the compliance officer was confident they had found a solution that was both easy to use and met their reliability needs. The CFO was equally impressed upon discovering that the pricing covered iMessage, Android SMS/MMS, and WhatsApp for a flat fee, with no hidden costs later on.
Deployment Timeline
Fully deployed firm-wide within 5 days.
Six Month Results
Successfully navigated a thorough SEC audit that included requests for text messages sent/received by their team.
Customer Feedback
Customer praised our exceptional support, with one remarking, “Your team has nailed it. Thank you,”
