IT and Cybersecurity Services for Broker Dealers
Compliance-Driven Technology for Broker Dealers Who Cannot Afford Mistakes
Broker Dealers operate under some of the most rigorous cybersecurity and data protection standards in the financial industry. Between FINRA, SEC, and state-level regulations, you are responsible for safeguarding sensitive client data, maintaining audit-ready records, and ensuring business continuity at all times.
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​At Secure Wealth IT, we specialize in IT management and cybersecurity services designed specifically for Broker Dealers. We understand your regulatory environment, the systems you use, and the expectations your auditors bring to every exam.
Built Around FINRA and SEC Requirements
You do not have time to interpret every new cybersecurity rule or regulatory notice. Our team does it for you.
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We build and maintain systems that align directly with FINRA Rule 4370 (Business Continuity and Cybersecurity), SEC Regulation S-P (Privacy of Consumer Financial Information), and Regulation S-ID (Identity Theft Red Flags).
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Our experts ensure your technology meets the standards auditors look for while keeping your operations fast, efficient, and protected.
We Help Broker Dealers
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Meet and document cybersecurity compliance requirements
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Maintain written business continuity and incident response plans
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Protect data through encryption, access controls, and monitoring
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Provide evidence and reports during audits or cybersecurity exams
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Train staff to recognize and prevent phishing or social engineering
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Manage vendor risks and document third-party compliance
Core IT Management for Broker Dealers
Reliable Technology with Compliance in Mind
Your business depends on seamless communication, secure data access, and uninterrupted client service. Our proactive IT management keeps your systems running smoothly and your compliance documentation current.
Services Include
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24/7 monitoring and help desk support
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Network performance management
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Microsoft 365 and SharePoint administration
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Workstation deployment and lifecycle management
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Cloud access controls and device encryption
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Vendor management and coordination
We ensure every part of your IT environment is secure, compliant, and fully documented for regulatory review.
Cybersecurity Essentials for Broker Dealers
Protection That Meets FINRA Standards
Cyber threats targeting financial firms are becoming more sophisticated and aggressive. Broker Dealers cannot rely on consumer-grade security tools. You need enterprise-level protection that aligns with FINRA and SEC expectations.
Our Cybersecurity Suite Includes
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Endpoint detection and response (EDR)
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SIEM threat detection and security analytics
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Multi-factor authentication across all accounts and devicesRegular vulnerability scanning and remediation
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Email encryption, anti-phishing, and spam protection
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Encrypted and immutable backups for full data protection
Our systems monitor threats in real time and provide clear reports to demonstrate compliance during audits or incident investigations.
Compliance and Reporting
Simplify Audits and Reduce Stress
Preparing for a FINRA or SEC exam can be stressful, especially if you lack the right documentation. We make compliance clear and consistent with automated reporting, policy management, and audit support.
We Provide
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Written cybersecurity and data protection policies
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Staff training and acknowledgment tracking
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Incident response plans and documentation
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Compliance dashboards with real-time visibility
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Audit preparation and evidence collection
When regulators ask for proof, you will already have everything ready.
Disaster Recovery and Business Continuity
Stay Operational During Any Event
FINRA Rule 4370 requires Broker Dealers to maintain an updated business continuity plan that ensures clients have access to their accounts, records, and communications, even during a disruption.
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We create customized continuity and recovery strategies that keep your business functional through any situation.
Our Plans Include
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Encrypted backups stored off-site and in the cloud
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Immutable storage to prevent ransomware damage
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Fast recovery of servers, workstations, and data
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Continuity testing and plan validation
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Documentation for FINRA and SEC compliance reviews
Your firm will be prepared for anything, from a cyber incident to a natural disaster.
Virtual CIO and IT Strategy
Strategic Technology Guidance for Regulated Firms
Broker Dealers need forward-thinking technology strategy that aligns with growth goals and compliance obligations. Our Virtual CIO service gives you executive-level insight without the fulltime cost.
Virtual CIO Services Include
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Quarterly business and compliance reviews
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Technology budgeting and forecasting
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Vendor evaluation and security vetting
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IT risk assessments and long-term planning
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​Cybersecurity insurance preparation
We help you make technology decisions that support compliance, reduce risk, and strengthen client confidence.
Why Broker Dealers Choose Secure Wealth IT
We Understand Financial Regulation
Our team knows the exact cybersecurity frameworks and documentation auditors expect to see.
We Protect Your Clients and Your Reputation
Our systems and monitoring prevent data loss, downtime, and security breaches that could harm your firm’s standing.
We Provide Complete Transparency
Every task, ticket, and update is tracked, logged, and documented for compliance review.
We Offer Personal, Responsive Support
We are based in Charlotte, North Carolina, and serve financial firms across the Southeast with fast, professional support.
We Simplify the Complex
Technology should make your life easier, not harder. We translate regulations into practical, clear steps your team can follow.
