Independence, KS - Heritage Brokerage, a FINRA registered broker-dealer has solved their compliance issues using AdvisorVault as their chosen17a-4 D3P partner.

Heritage was facing significant challenges with their technology infrastructure and data compliance framework. Recognizing the potential gaps in their compliance efforts, including an end-of-life Windows server, ineffective file syncing processes using ShareFile and an outdated email service from Intermedia, Heritage went looking for a comprehensive solution that would not only transition their firm to Microsoft 365, but also ensure adherence to 17a-4 regulations. Their search led them to AdvisorVault and their Consolidated 17a-4 D3P service.

Heritage's Chief Compliance Officer, Todd Johnson, praised AdvisorVault's streamlined approach, "With their Consolidated 17a-4 D3P service, AdvisorVault addressed multiple compliance gaps for us simultaneously. They helped migrate us onto Microsoft 365 and provided a compliant archiving plug-in that automatically safeguarded all of our cloud-stored data. This enabled us to retire our old server and gave us the ability to leverage Exchange Online with SharePoint for enhanced collaboration and efficiency."

Small FINRA firms (like Heritage Brokerage), often find themselves grappling with older overlapping technology & software systems, leading to holes in company data management and compliance, unbeknownst to management. Recognizing this common struggle among firms, AdvisorVault specializes in providing comprehensive solutions that smooth the transition to Microsoft 365 while ensuring strict 17a-4 compliance, effectively resolving the technology-related challenges faced by small firms.

The advantages of Advisorvaults’s D3P data storage service extend far beyond technology and compliance. By leveraging Microsoft 365's powerful suite of productivity and collaboration tools, firms enhance their operational efficiency and streamline their workflows. Small firms no longer need to rely on multiple providers or grapple with disjointed technology systems. Moreover, AdvisorVault's Consolidated 17a-4 D3P service offers significant cost and time savings for FINRA firms. When transitioning to Microsoft 365, firms reduce their reliance for on-premises infrastructure, while minimizing hardware and maintenance costs. The quick migration process and in-depth technical support offered by AdvisorVault allows firms to optimize their resources and allocate more time to strategic initiatives that can drive growth and profitability.

The success story of Heritage serves as a testament to the value an expert D3P like AdvisorVault can bring to firms in the financial services industry. By partnering with AdvisorVault, firms not only address their immediate technology and compliance problems; they also gain a long-term competitive advantage. This consolidation of data management and compliance within a single comprehensive solution- 1. simplifies operations 2. reduces complexities and 3. ensures seamless regulatory compliance for any FINRA firm.

About AdvisorVault:

AdvisorVault is a leading provider of comprehensive solutions designed specifically for FINRA-regulated firms. Bringing expertise, customer-centric approach, and commitment to technology and compliance standards, AdvisorVault is a trusted partner for firms navigating the complexities of the financial services industry. 

To learn more about AdvisorVault and their Consolidated 17a-4 D3P service, visit www.advisorvault.com. 

For inquiries, please email Christopher Mancini at This email address is being protected from spambots. You need JavaScript enabled to view it. 

or call toll free at 1-866-732-1407 to schedule a demo.

inventory and indicates where improvements can be made.

SGS is already a ZDHC approved certification body for the assessment of industry conformance to Levels 1, 2 and 3 of ZDHC (MRSL) v3.1. The expanded scope establishes SGS as a one stop service for an increasingly environmentally conscious fashion and footwear industry.

Yvonne Tse, Vice President – Global Softlines, SGS said: “As a global company, our specialist softlines teams are focused on the importance of chemical management through the supply chain. We are delighted to make ZDHC Performance InCheck part of our one-stop service and to help the industry achieve its environmental and global sustainability targets.”

With ZDHC Performance InCheck, organizations are empowered to improve the transparency and visibility of their chemical inventories, actively track and improve their performance, distinguish their organisation from others and build customer loyalty.

As an Approved Third Party Verifier for ZDHC Verified InCheck – Level 1, SGS is able to verify the credibility of an organization’s chemical inventory list to establish trust in the Performance InCheck Report and the supplier's chemical inventory. It is applicable to all manufacturing facilities including fabric mills, dyeing and finishing units, laundries, printing units, tanneries, and footwear assembly units.

About SGS Softline services

SGS offers a wide range of services to the softlines and accessories industry, at every stage of the value chain, with services to help them meet the requirements of regulators, distributors, retailers and consumers around the world.

SGS helps to ensure the quality, safety and sustainability of products, and their mode of distribution, to satisfy regulatory requirements as well as the demands of the market.

Find out more at www.sgs.com/softlines.

About SGS
We are SGS – the world’s leading testing, inspection and certification company. We are recognized as the global benchmark for sustainability, quality and integrity. Our 97,000 employees operate a network of 2,650 offices and laboratories, working together to enable a better, safer and more interconnected world.

SGS, the world’s leading testing, inspection and certification company, has expanded its global network of testing and certification services to the wireless industry after its laboratory in Branchburg, New Jersey, USA gained authorization for T-Mobile US stock and non-stock over the air (OTA) radiated performance testing for 5G as well as 4G.

This latest approval, from the trade association representing the US communications industry, expands SGS’s existing OTA capabilities and approvals for wireless operators including Verizon Wireless, Dish Wireless and AT&T. The state-of-the-art testing facility in Branchburg is now the only OTA lab in the world able to perform radiated performance testing for the big four US operators in one location.  

One of the first CTIA authorized test labs in US in 2005, the lab offers manufacturers across the world a true ‘one-stop-shop’ for services for all mobile technologies including 5G FR1 (SA, NSA, EN-DC), 5G FR2 (mmWave), 4G, A-GPS, 3G as well as CWG Wi-Fi.

Across its extensive global network of wireless labs, SGS tests OTA radiated performance for several wireless operators, including Vodafone, Orange and NTT Docomo, as well as for global certification organizations such as PTCRB and GCF.

The extended range of OTA services available at SGS, with 24/7 support, includes:

- Total radiated power (TRP) and total isotropic sensitivity (TIS) for:
1) 5G FR1 (SA, NSA including EN-DC), carrier aggregation (5G/4G)
2) LTE aGPS, CAT M1, NB-IoT, 3G/2G, Wi-Fi, Sigfox
- Antenna radiation pattern (2D/3D)
- Antenna efficiency and absolute gain
- VSWR and antenna matching
- MIMO

SGS wireless testing services
SGS offers an end-to-end portfolio of testing services for the entire wireless ecosystem, including device manufacturers (ODMs, OEMs), network operators, chipset/module vendors and IoT integrators. Its highly knowledgeable and experienced engineers and project managers, working in a global network of state-of-the-art laboratories, can provide unique insights on various wireless technologies.

Learn more about SGS’s Wireless Services.

About SGS 
We are SGS – the world’s leading testing, inspection and certification company. We are recognized as the global benchmark for sustainability, quality and integrity. Our 97,000 employees operate a network of 2,650 offices and laboratories, working together to enable a better, safer and more interconnected world.

SGS, the world’s leading testing, inspection and certification company, has published a SafeGuardS to help stakeholders understand the implications of Turkey’s Communiqué No: SGM 2022/40 on safety requirements and test methods for children’s drinking equipment.

Published by the Turkish Ministry of Industry and Technology on May 11, 2023, the communiqué mandates the use of TS EN 14350/November 2020 for a range of children’s drinking equipment. Exemptions include:

- Drinking equipment made from ceramics
- Drinking equipment supplied with fluids or food purchased with attached feeding accessories
- Soothers (EN 1400)
- Cutlery and other feeding utensils (EN 14372)

SGS has published SafeGuardS 065.23 to help stakeholders understand the full scope of the communiqué. It contains a table detailing the scope of the communiqué, including special requirements relating to drinking equipment intended for children aged 0-48 months.

Products legally available in the European Union as assumed to comply with the communiqué.

To learn more, Stakeholders are advised to review SGS’s original SafeGuardS 065.23.

The communiqué will come into effect on November 11, 2023.

SGS Juvenile Product Services
SGS offers a wide range of services to ensure that products comply with relevant standards for childcare articles and children’s equipment. They provide consulting, training, product development, testing, audit and inspection services to ensure that products comply with strict regulations worldwide, demonstrating the safety and quality of juvenile products being brought to the market. After all, it’s only trusted because it’s tested. Learn more about SGS’s  Juvenile Product Services.

SGS SafeGuardS keep you up to date with the latest news and developments in the consumer goods industry. Read the full Turkey Mandates Standard for Children’s Drinking Equipment SafeGuardS.

Subscribe here to receive SGS SafeGuardS direct to your inbox.

For further information contact:

Dr. HingWo Tsang
Global Information and Innovation Manager
Tel: (+852) 2774 7420

Mr. Uğur Yılmaz
Hardline and C&H Customer Services Section Head
Tel: +90 212 368 40 00 – 4441

Email: This email address is being protected from spambots. You need JavaScript enabled to view it.
Website: www.sgs.com/hardlines
LinkedIn: SGS Connectivity & Products

About SGS
We are SGS – the world’s leading testing, inspection and certification company. We are recognized as the global benchmark for sustainability, quality and integrity. Our 97,000 employees operate a network of 2,650 offices and laboratories, working together to enable a better, safer and more interconnected world.