Yes — and financial services is one of the verticals we built for, not one we stumbled into.
Most IT providers treat a financial advisory firm like any other small business with computers. That works fine until your SEC examiner asks for two years of email archives, your cyber insurance carrier wants proof of MFA and endpoint protection, or your portfolio management platform goes down the morning of a major rebalancing event. At that point, "any IT company will do" stops being true in a hurry.
NerdSquad works with registered investment advisors (RIAs), broker-dealers, independent financial advisors, wealth management firms, accounting practices, insurance agencies, and multi-advisor offices throughout South Florida and beyond. Here's what that actually looks like in practice.
The financial services world has more regulatory overlap than almost any other industry. SEC. FINRA. The Gramm-Leach-Bliley Act (GLBA). State insurance regulations. PCI-DSS if you process payments. SOX if you're a public company or preparing to be. And since 2023, new SEC cybersecurity disclosure rules that require public companies and certain advisors to report material incidents within four days.
We're not your compliance officer, and we won't pretend to be. But we know what these frameworks require on the technology side — and we build your IT environment to support audit readiness, not just daily operations. That means encrypted backups, immutable storage, email archiving, access controls with audit logs, endpoint protection, and documentation your examiner can actually follow.
For a deeper look at how these frameworks intersect, see our articles on SEC, FINRA, and GLBA compliance for financial firms and cybersecurity for financial services.
Financial services firms run on specialized software — and most IT companies have never touched it. We support the platforms your firm actually uses: CRM tools like Salesforce Financial Services Cloud, Redtail, and Wealthbox; portfolio management platforms like Orion, Envestnet, and Tamarac; compliance and archiving tools like Smarsh and Global Relay; trading platforms; and document management systems.
When something breaks — an integration stops syncing, a user loses access before a client meeting, a patch update breaks a workflow — you need someone who understands the ecosystem, not someone Googling the software name for the first time. We also coordinate directly with your software vendors so you're not stuck playing telephone between your IT provider and your platform support team.
We cover the full platform picture in detail in our article on financial platform support and integrations.
FINRA Rule 4511 and SEC Rule 17a-4 require broker-dealers to retain business-related communications for defined periods — and to store them in a format that can't be altered (WORM storage). RIAs under the Investment Advisers Act have similar recordkeeping obligations.
This isn't just a "save your emails" conversation. It means having an archiving solution that captures email, Teams or Slack messages, and other electronic communications; retains them on WORM-compliant storage; and can produce them on demand for an examiner. We set this up, monitor it, and make sure it doesn't quietly stop working six months after deployment.
Financial services firms are among the most targeted organizations in the world. Your clients' account numbers, Social Security numbers, tax records, and asset data are exactly what attackers are after — and exactly what regulators require you to protect under GLBA.
Our Zero Trust Cybersecurity approach layers endpoint detection and response (EDR), multi-factor authentication (MFA), encrypted backups, and continuous monitoring — built to satisfy both your cyber insurance carrier and your regulator. Not one or the other. Both.
Compliance and cybersecurity get the headlines, but most of what we do for financial services firms is the same thing we do for everyone else: keeping things running. Fast helpdesk response when a workstation won't boot the morning of a client presentation. New advisor onboarding handled in hours, not days. Remote access that actually works securely when advisors are traveling or working from home. VoIP phone systems that integrate with your CRM so client calls are logged automatically.
Our rapid IT helpdesk operates with a response-time SLA that's in your contract — not just something we say on a website.
That's not a tagline — it's how we screen new clients. If your firm has compliance requirements we're not equipped to support, we'll tell you before you sign anything. If we're the right fit, we'll tell you that too. Either way, you get a straight answer.
See our 100% satisfaction guarantee for what that looks like in practice.