CAESAR Technology provides automation for Broker Dealers

Back Office

  • Advisor Registration and Licensing (FINRA)
  • Insurance Licensing and Carrier Appointments
  • Client Account Maintenance
  • Regulatory Compliance
  • Suitability & Fiduciary

Advisor Apps

  • Client Account Detail
  • Actionable Items
  • Compensation
  • Fillable Forms
  • Licensing Detail
  • Approved Products

Form U4 Automation

  • Easy Onboarding
  • Paperless
  • Efficient
  • Back Office Review
  • Electronic CRD
  • Annual ACQ