Case Study: Shareholders Service Group achieves faster FINRA audits and improved client service with Laserfiche

Advice for a Successful Laserfiche Implementation

Shareholders Service Group (SSG) is a San Diego–based broker‑dealer serving more than 1,000 registered independent advisors. Faced with strict industry regulations and the need to deliver faster, more reliable client service and audit responsiveness, SSG needed a way to manage large volumes of account and advisor documents while keeping onboarding and day‑to‑day access simple.

SSG implemented Laserfiche by mapping existing business processes into an intuitive repository, assigning a dedicated system owner, involving all staff in design decisions, and enforcing clear scanning and usage policies. A folder structure organized by advisor number, account and document type makes information retrieval immediate; the rollout cut FINRA audit response time, improved client relationships, enabled 15‑minute new‑hire onboarding, and increased staff confidence and managerial control across more than 1,000 advisors.

Shareholders Service Group

Dan Skiles

Executive Vice President