Route Financial Calls toLicensed Advisors
Automatically route calls to properly licensed financial advisors based on Series qualifications, state registrations, and product expertise. Ensure FINRA compliance and eliminate regulatory violations.
License-Based Call Routing
Financial Services Compliance Alert
Warning: Routing financial leads to unlicensed advisors or advisors not licensed for the specific securities constitutes a violation of FINRA and SEC regulations and can result in severe penalties including license revocation, significant financial penalties, and regulatory sanctions.
License Suspension
Up to 24-month suspension
Financial Penalties
$500K+ average fine
Business Impact
85% client trust loss
Flowyte Solution: 100% FINRA/SEC Compliance
Automated license verification ensures every financial lead reaches a properly licensed advisor with the correct qualifications.
Financial Services Face Critical Routing Challenges
Manual call routing in financial services creates compliance risks, wastes high-value leads, and exposes firms to regulatory violations that can cost hundreds of thousands in fines.
FINRA Compliance Violations
Manual routing leads to unlicensed advisors handling regulated conversations
Response Time Delays
Manual license verification and routing creates critical delays
License Mismatch Errors
Calls routed to advisors without proper Series qualifications
High-Value Lead Waste
Premium financial leads lost due to poor routing and delays
Manual Process Inefficiency
Staff spending time on license checks instead of client service
Audit Trail Gaps
Inadequate documentation for regulatory compliance audits
The True Cost of Compliance Failures
FINRA violations carry severe financial and operational consequences
Unlicensed Activity
Supervision Failures
Record Keeping Violations
Beyond fines: Reputation damage, client loss, and operational restrictions can impact firms for years
Intelligent Financial Services Call Routing
Flowyte's AI-powered routing ensures every financial call reaches a properly licensed advisor, maintaining FINRA compliance while maximizing conversion rates.
Automated License Verification
Real-time validation against FINRA CRD, state securities databases, and insurance licensing systems.
- Live FINRA CRD integration
- Series license verification (6, 7, 63, 66, etc.)
- State registration status checks
- Insurance license validation
- Continuing education compliance tracking
Product Specialization Routing
Route calls based on advisor qualifications and product expertise to ensure proper coverage.
- Investment products (Series 7 required)
- Insurance & annuities (Series 6 + Insurance)
- Municipal bonds (Series 52)
- Options trading (Series 4)
- Investment advisory (Series 65/66)
Instant Compliance Routing
Sub-15 second routing to properly licensed advisors with automatic compliance documentation.
- Real-time availability checking
- Automatic backup routing
- Compliance audit trail generation
- Call recording compliance tags
- Regulatory reporting integration
FINRA Audit Preparation
Comprehensive documentation and reporting to streamline regulatory examinations.
- Complete call routing logs
- License verification records
- Compliance decision trails
- Automated violation alerts
- Regulatory report generation
How Compliant Routing Works
Call Received
Incoming call with product interest identified
Caller inquiring about investment options
License Check
Real-time verification of advisor qualifications
Check Series 7, 66 licenses for investment advice
Smart Routing
Instant routing to qualified, available advisor
Route to Jane Smith (Series 7, 66, Available)
Compliance Log
Automatic documentation for audit trail
Record license verification and routing decision
Comprehensive Financial Services Compliance
Built-in compliance with FINRA, SEC, and state securities regulations. Automated documentation and audit trails ensure your firm stays compliant.
FINRA Rule Compliance
Built-in adherence to Financial Industry Regulatory Authority standards.
- Rule 3110 - Supervision of activities
- Rule 2111 - Suitability determinations
- Rule 3240 - Borrowing arrangements
- Rule 2210 - Communications standards
SEC Regulatory Compliance
Securities and Exchange Commission requirements for investment advisors.
- Investment Advisor Act Section 203
- Form ADV disclosure requirements
- Custody rule compliance (Rule 206(4)-2)
- Record keeping requirements
State Securities Laws
Multi-state registration and notice filing compliance.
- Uniform Securities Act provisions
- State investment advisor registration
- Notice filing requirements
- State-specific advertising rules
Audit Trail Management
Comprehensive documentation for regulatory examinations.
- Complete call routing records
- License verification logs
- Compliance decision tracking
- Automated violation reporting
Automated License Verification System
Series 6
Investment Company and Variable Contracts Products
Series 7
General Securities Representative
Series 63
Uniform Securities Agent State Law
Series 65/66
Investment Adviser Law/Combined Exam
Audit-Ready Documentation
Comprehensive record keeping that exceeds regulatory requirements
Supervision Records
99.8%Complete documentation of supervisory reviews
Automated logging of all routing decisions and license verifications
Suitability Documentation
100%Evidence of proper advisor qualification matching
Real-time license verification ensures qualified advisor assignment
Communication Records
99.9%Complete call logs with compliance annotations
Automated tagging and categorization of all customer interactions
Training Verification
100%Proof of continuing education compliance
Integration with CE tracking systems and automatic status updates
Ready for FINRA, SEC, and state regulatory examinations from day one
Proven Results for Financial Services
Real performance metrics from financial advisory firms using Flowyte's intelligent call routing
Higher conversion rates through immediate licensed advisor connection
Financial leads convert 73% more often when routed to properly licensed advisors within 90 seconds
Lightning-fast routing to available licensed advisors
Critical for high-value financial leads where speed determines client acquisition
Nearly perfect regulatory compliance through automated verification
Zero FINRA violations reported by clients using Flowyte's license verification system
Annual lead value preserved through proper routing
Financial service leads average $1,200-$3,500 each - proper routing protects this value
Exceptional client experience through expert matching
Clients report higher satisfaction when connected to properly licensed specialists
Issues resolved on initial contact through expert routing
Reduces callbacks and improves operational efficiency for financial advisory teams
Regulatory Compliance
Business Impact
Operational Efficiency
Average ROI for Financial Advisory Firms
Ensure 100% FINRA Compliance Today
Join hundreds of financial advisory firms protecting their license compliance and maximizing lead conversion with intelligent call routing
FINRA Compliant
100% regulatory adherence
License Verified
Real-time Series validation
Instant Routing
22-second response time
Higher Conversions
73% increase in closings
Ready to Eliminate FINRA Compliance Risk?
Don't risk $500K+ fines and license suspensions. Get real-time Series license verification and automated compliant routing for your financial advisory firm.
Include "FINRA Compliance Review" in your subject line for priority response
Trusted by FINRA-regulated firms nationwide
⚠️ Compliance Risk Alert
38% of advisory firms receive FINRA citations annually. Protect your licenses with automated compliance verification.