In today’s technology savvy world a quality Broker-Dealer partner would not be complete without a world class offering of technology solutions. Geneos has successfully created a comprehensive technology suite of products that cover not only b/d regulatory requirements but also data aggregation, consolidated statements, document imaging solutions, form filling and multiple clearing and trading platforms.
Nexus is a proprietary web based platform that is the central hub of access and communication between the Geneos back office and our advisors. Among a host of features, Nexus is the central location for all commission and compliance reporting, client and account entry, supervision tools for OSJ’s and the main communication link with the home office.
Electronic Client and Account Entry: Once account data is entered into Nexus, the account is automatically routed to the appropriate supervisor for approval. With electronic links to National Financial, Pershing and Schwab, Geneos is able to open new brokerage accounts instantly upon approval. Advisors also can reserve a brokerage account number in Nexus prior to establishing the new account to facilitate the document signing session with the client. The new account process is further optimized in terms of corresponding forms and allowing for high speed “mouse-less” data entry with real time data validation. Paper documents are then scanned into our electronic document management system and the user can link documents together with client account data in Nexus.
Total Client View: A comprehensive look at a client and all his or her accounts. In one easy-to- understand and use view, Nexus provides all available client data, including an audit trail of information changes and approvals, scanned documents, email, latest positions, trade history, other clients associated by household, and GDC totals.
Outside Business Activities: An electronic system for keeping regulatory entities apprised of all outside business activity as it changes.
OSJ Quarterly Checklist: An electronic checklist for branch managers to easily keep up on the complexities of managing a branch.
Geneos Inbox: Allows advisors to monitor the progress of electronic documentation sent to the home office for processing, including how long it has been in-process, which department is currently handling it, and estimated time of completion.
Launch Pad: Our way of providing links to third-party software that can be opened and navigated within the Nexus window usually without having to sign in again.
Required Readings and Announcements: Nexus facilities company communication ranging from Compliance and Operations Alerts to general company announcements. This makes Nexus your link to new information critical to your business operations and staying “in the know.”
Form Center: All Geneos associates can access electronic versions of any form, application, or supporting document from a single location. Utilizing an enterprise version of LaserApp, the industry leading form filling software application, you can be confident you are accessing the latest documentation available from product sponsors at all times. Form Center also gives you the ability to “Pre-fill” both Geneos and outside sponsor forms once the data has been entered into Nexus. All forms are presented in a fillable PDF format – which means they have text fields that can be edited and the final form can be printed, saved to and retrieved from any computer.
Document Imaging Solution
Geneos has partnered with Laserfiche to provide our advisors with a turnkey, fully integrated document imaging solution. Our document management system connects branches electronically to the home office facilitating efficient, high-speed, low-cost document submission and retrieval. This time- and resource-saving solution replaces the archaic paper filing systems. Access to your electronic documents is fully integrated with Nexus, allowing you to quickly coordinate your electronic documents with your administrative tasks.
Electronic document storage eliminates labor-intensive filing affording advisors and their staffs the advantage of point-and-click navigation and document searches. In essence, Laserfiche software enables you to manage thousands of records – yet retrieve the one you need in seconds.
In addition to the document management system, Geneos offers an annual snapshot of all your documents burned to a CD or DVD for advisors’ long-term retention needs. This valuable tool features the same interface and searchability as our online system, all from a single disc, as well as the training and instruction needed to bring your staff up to speed on electronic document management at Geneos.
Geneos has a long standing partnership with Albridge Wealth Reporting to provide industry leading client account aggregation as well as consolidated statements. Unlike many of our competitors Geneos offers the full capabilities of Albridge to our advisors including performance reporting, house holding, cost basis reporting, client access and advisor level reports. Full consolidation of all client accounts gives you the advisor a distinct advantage in the marketplace.