Case Study: Securities America achieves faster, more efficient social media and email compliance with Smarsh

Securities America Enlists Smarsh to Make Social Media, Email Compliance More Efficient

Securities America, a top-10 independent broker‑dealer serving over 500,000 clients and regulated by FINRA, needed a better way to supervise and produce electronic communications as social media became central to advisor-client outreach. An early hosted archiving provider proved inefficient, leaving Compliance Manager Ryan Boozikee’s team struggling to monitor LinkedIn, Twitter and Facebook alongside large volumes of email while meeting strict record‑production requirements.

Smarsh implemented a cloud‑based archiving and compliance solution for social media—quickly onboarding the firm, importing keyword lexicons in hours, and training staff—enabling faster, more accurate supervision and rapid responses to audit requests (including overnight productions). The platform reduced false positives, automated routine reviews, provided full activity tracking, and proved reliable enough that Securities America expanded the relationship to include email archiving, improving overall compliance efficiency.

Securities America

Janet Hill

Deputy Director of Sales Supervision Operations