AI Built for Financial Services
SEC and FINRA-compliant AI that meets the strictest financial regulations. On-premise deployment ensures your client data never leaves your control.
The Industry Challenges
Compliance
SEC, FINRA, and other financial regulations require strict data controls. Cloud AI solutions often violate these requirements by sending client data to third parties.
Data Sensitivity
Client financial data is highly sensitive. It requires on-premise deployment or dedicated private clouds with zero shared infrastructure.
Audit Requirements
Financial services require complete audit trails, accountability, and explainability. Generic AI solutions can't meet these requirements.
Client Service
Client service teams are overwhelmed with routine inquiries, taking time away from high-value advisory work.
How BroadNet Solves Financial Services AI
SEC/FINRA-Compliant Architecture
On-premise or air-gapped deployment ensures your client data never touches external networks. Complete audit trails and accountability controls meet financial regulations.
- ✓ On-premise or air-gapped deployment
- ✓ Complete audit logging
- ✓ NIST AI Risk Management Framework alignment
- ✓ Explainability and accountability controls
Financial Services Knowledge Base
Our Graph ML technology understands financial products, regulations, compliance requirements, and client relationship management.
- ✓ Financial product knowledge
- ✓ Regulatory compliance awareness
- ✓ Client relationship understanding
- ✓ Integration with trading and CRM systems
Proven ROI in 3 Months
Financial services firms see ROI in 3 months with 40% faster client responses and $150K+ annual savings.
- ✓ 40% faster client responses
- ✓ $150K annual savings
- ✓ Full compliance maintained
- ✓ 3-month payback period
Real Financial Services Results
Financial Services Firm
1000+ Clients, SEC Compliant"We spent $50K on AI solutions that didn't work. This paid for itself in 3 months. The local deployment was key for our compliance requirements."
Challenge: Client service overwhelmed, compliance concerns with cloud AI
Solution: Local deployment with financial services knowledge base
Result: 40% faster client responses, $150K annual savings, full compliance
Built for Financial Compliance
SEC Compliant
Meets SEC requirements for financial data handling, audit trails, and accountability
FINRA Compatible
Designed to meet FINRA requirements for broker-dealer operations and client communications
Air-Gapped Option
Complete network isolation for the strictest security requirements
Ready to Transform Financial Services?
Get a custom demo showing how BroadNet.AI can help your financial services firm while maintaining full SEC and FINRA compliance.
Get Financial Services Demo