Your people aren't
headcount.
Treat them like it.
Payroll, benefits, and FINRA compliance — one quiet engine built for wealth management shops, regional banks, and insurance brokerages.
Every license window, every branch, visible at a glance.
No more Friday afternoon spreadsheets. Ledger surfaces FINRA licensing conflicts 30 days before they become violations — automatically, across every branch.
"I used to spend every Friday afternoon on this."
— Patricia Mullen, COO, Meridian Wealth Advisors
Automatic FINRA window tracking
Ledger maps every employee's licensing status against their role requirements. Gaps surface 30 days early.
Proactive expiration alerts
Email and in-app alerts reach both the employee and their manager before a renewal becomes a violation.
Audit-ready reports in one click
Pull a branch-level compliance snapshot formatted for FINRA examiners, any time.
Ready to see it in your context?
Pre-filtered by firm type — RIA, broker-dealer, bank, or insurance.
Welcome, James.
Your first 90 days are mapped. Your Series 7 materials ship Monday.
— Karen Whitfield, Managing Director
Average onboarding time cut from 4 days to 6 hours
For broker-dealers and RIAs, Ledger pre-populates every FINRA form, study resource, and firm policy from a single hire record.
First days feel like someone was expecting them.
Ledger auto-populates every new hire's checklist with their role's FINRA requirements, study materials, benefits windows, and a welcome note from their manager — before they sit down.
James Calloway — New Hire Checklist
Associate Advisor · Providence Branch
Complete Form U4 — FINRA Registration
Order Series 7 study materials (Kaplan)
Set up payroll direct deposit
Enroll in benefits — deadline April 14
Complete firm AML training module
Schedule 30-day check-in with Managing Director
The advisor who stays twenty years remembers the firm that made benefits easy.
Open enrollment, life events, dependent changes — Ledger walks every employee through their options in plain language, with zero HR back-and-forth.
Open Enrollment — Sofia Nguyen
Financial Advisor · Boston Branch · Deadline: April 14
Medical Plans
Blue Cross PPO
Employee: $0 · Family: $312/mo
Blue Cross HDHP
Employee: $0 · Family: $198/mo
Kaiser HMO
Employee: $0 · Family: $244/mo
Dependents
"My family's covered. I can focus."
— Sofia Nguyen, Financial Advisor
Plain-language benefits guides
No HR jargon. Ledger explains each plan in the context of the employee's family size and salary band.
Life event triggers
Marriage, new child, or relocation automatically opens a 30-day enrollment window — no ticket required.
Carrier sync in real time
Enrollment elections push directly to carriers. No more manual data entry or coverage gaps from processing delays.
Ready to see it in your context?
Pre-filtered by firm type — RIA, broker-dealer, bank, or insurance.
The firms that manage other people's money trust us with their own.
Before Ledger, I had a shared drive, three spreadsheets, and a prayer. Now I walk into Monday knowing every license is current.
Patricia Mullen
COO · Meridian Wealth Advisors
$1.4B AUM
Our FINRA exam prep used to take two weeks of manual pulls. Ledger generates the examiner packet in four minutes.
Robert Chambers
Chief Compliance Officer · Lakeshore Financial Group
Regional BD, 6 branches
Trusted by 340+ firms including
See what Tuesday morning looks like when nothing is on fire.
The demo pre-filters by firm type — RIA, broker-dealer, bank, or insurance — so you see your workflows, not a generic walkthrough.