Email Archiving

icon_emailarchiveTake Control of Messaging Compliance

The majority of fines handed out these days by FINRA are failure to properly supervise communications. The main reason is firms want to take advantage of new technology; they want to use mobile devices, social medial and cloud based messaging to communicate with partners and customers.  Because of this they often lose control of the whole process.  Now, a new approach is needed to make sure all these new ways of communicating are kept compliant

Advanced Solution of Messaging Compliance:

AdvisorVault’s advanced messaging solution includes all the tools to capture communications on corporate systems, mobile devices and cloud based systems.  It is then centralized on to a SEC 17a-4 compliant archive.   Included with our messaging compliance is a full secure web based interface to allow compliance officers  to search, flag and download messages for audits or ongoing supervision.

Included in AdvisorVault’s messaging compliance solution:

Full email hosting, POP/IMAP, Exchange hosting

Coverage for mobile devices


Web based interface to search, flag and download message for audits or ongoing supervision

What Financial Professionals Are Saying About AdvisorVault

AdvisorVault was simple! They even helped us with the FINRA 17a-4 attestation letters; we immediately scraped whatever we’ve backed up so far with our other provider and started with them”
Michael J. DuganChief Financial OfficerDriveWealth, LLC
AdvisorVault made it very easy for us to implement a compliant backup and archiving solution to archive electronic records on our PCs and on the server at head office.”
Joshua SandsCompliance officer at Core Wealth Planning
AdvisorVault rocks
“The way AdvisorVault approaches data backup and archiving, we replaced our current backup solution fully with them to recover servers from failure”
George LoukinInfrastructure ManagerAutonomous Research
“I’m pleased so far with how helpful and insightful they have been to work with and our firm made a good decision to switch our backup functions, email SPAM and archiving to AdvisorVault”
Arthur C. Everly Executive Vice PresidentWealth Management Resources, Inc.
AdvisorVault made it really simple to archive all our data. They even connected into our cloud provider and made sure this was 17a-4 compliant”
Loren HegerVice President and General CounselThe Applied Group
“Once we took a close look at AdvisorVault, we immediately engaged them for our data and email archiving. Additionally, they hosted a full Exchange email solution for records retention and supervision”
Lindsay Wall Managing Director & PartnerLonghouse Capital Advisors
“As soon as we received FINRA approval of our BD registration, we launched AdvisorVault, they told us exactly how we should move forward with our data archiving to meet the D3P requirements
Kevin SmithPresidentSeedchange Execution Services Inc.
AdvisorVault was at the top of the list when we looked at our entire disaster recovery/compliance/archiving/anti-spam platform and vendors…we eventually consolidated everything with them”
Bennett Cole PresidentFalconBridge Capital Markets, LLC

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  • Useful Compliance Resources


    Guide: Compliance for Small FINRA Firms

    Compliance essentials for small FINRA firms


    How to Choose Your FINRA (D3P)™

    6 features in yourD3P™  you can’t do without.


    Read more available in our Data Compliance Blog