Financial Services Document Management Software

docSTAR’s document management solution for the financial services industry helps to streamline processes, increase customer service, ensure compliance and reduce costs.

Financial Institutions like wealth management, investment services, mortgage and brokerage firms are paper intensive businesses. Reducing costs and increase service levels and operational efficiencies provides a competitive advantage vital to success.

At the same time the need for compliance with regulatory laws as Graham-Leach-Bliley, SEC 17a-3 and 17a-4, The Patriot Act, Sarbanes-Oxley sections 302 and 404 for public companies, IRS Rev. Proc. 97-22 and NASD 3010 & NYSE 342 must be emphasized. This is why document management is so important for financial services companies.


docSTAR Benefits Financial Services

  • Streamline your office – Control document access, enforce document retention policies, audit file activity, and more!
  • Improve Operational Efficiency – Convert paper forms to electronic forms and store all of your documents electronically to ensure the safety and security of all files in the event of a disaster.
  • Quick ROI – Instant access to client documents, the ability to email and fax directly from docSTAR, savings in paper storage, overnight mail, and office supplies used to print and copy documents – all quickly result in a significant return on your investment.
  • Instant Document Access – Instantly locate documents without ever leaving your desk. Quick and easy retrieval of all files helps speed-up the regulatory audit process.
  • Reduce Compliance Worries – Control document access, enforce document retention policies, audit file activity, and more!



"From inside of any Microsoft product, we can simply press the docSTAR button, then it moves that document into docSTAR, and we index it for that client, subject matter or whatever indexing criteria we set up.”
- Doug Loftus, Spectrum Financial Advisors

Download Our Financial Services Information Sheet PDF