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Financial Services IT · Since 1999

IT That Keeps Your
Clients — and Their Data —
Completely Protected.

Los Angeles financial firms face a unique burden: regulatory scrutiny, sophisticated cyber threats, and clients who trust you with their most sensitive information. Pro Link Systems has built compliance-aligned IT for RIAs, wealth managers, CPAs, and financial services firms since 1999.

SEC, FINRA & GLBA Alignment

Written Information Security Policies, examination-ready documentation, and the technical controls regulators look for — built before they ask.

BEC & Wire Fraud Defense

Multi-layer email security, impersonation detection, MFA enforcement, and staff training to stop the attacks financial firms face every day.

24/7 Support for Financial Professionals

Trading platforms, portfolio management software, custodian portals — covered around the clock by engineers who understand your tools.

SEC & FINRA-Aligned IT
Serving LA financial firms since 1999
25+ Years of financial
services IT experience
<15m Response time for
critical IT issues
100% Client data stays
within your environment
24/7 Live engineer support —
when markets are open
WISP & Regulatory Documentation
SEC, FINRA & GLBA Safeguards Rule ready
BEC & Wire Fraud Defense
Email auth, MFA, impersonation detection
Business Continuity Planning
FINRA Rule 4370-aligned, tested annually
Zero-Trust Access Controls
MFA, SSO, privileged access management
Financial Services IT · Since 1999

Get a Free Financial IT Assessment

We'll review your cybersecurity posture, compliance documentation, and infrastructure — and give you an honest gap analysis. No pressure, no obligation.

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A Pro Link engineer will reach out within one business day to schedule your free financial IT assessment.

Call Now: 1-800-890-6133

The IT Risks Financial
Firms Can't Ignore.

Financial services firms are one of the most targeted industries for cyberattacks — and one of the most heavily scrutinized by regulators. You need IT that addresses both simultaneously.

Business Email Compromise & Wire Fraud

Financial firms lose more to BEC than any other industry. Attackers compromise email accounts, impersonate executives, and redirect wire transfers. The average loss exceeds $120,000 per incident.

Regulatory Examination with No Documentation

SEC and FINRA examiners now routinely ask for your Written Information Security Policy, incident response plan, access control logs, and vendor oversight program. If it doesn't exist on paper, it doesn't exist.

Ransomware Targeting Financial Data

Client financial records, tax documents, and investment data are high-value ransomware targets. A single successful attack can trigger client notification obligations, regulatory action, and reputational damage that takes years to recover from.

Compliance-Ready IT for
LA Financial Firms.

We've supported financial services firms since 1999. We understand the regulatory landscape, the threat environment, and the documentation your examiner will ask for — before they ask for it.

Multi-Layer BEC Defense

Email authentication (SPF, DKIM, DMARC), advanced threat protection, impersonation detection, MFA on all accounts, and staff training — so wire fraud attempts fail before they reach your team.

Examination-Ready Documentation on Day One

We build your WISP, incident response plan, risk assessment, vendor oversight program, and access control policy — and keep them current as regulations evolve.

Tested Business Continuity, Not Just a Binder

FINRA Rule 4370-aligned BCP with documented RTOs/RPOs, automated backups, tested failover procedures, and an annual tabletop exercise your compliance officer can present to examiners.

Complete IT Coverage for Financial Firms

From regulatory compliance documentation to 24/7 help desk — every service your firm needs, under one flat monthly rate.

SEC & FINRA Compliance IT

Examination-ready IT infrastructure and documentation aligned to SEC cybersecurity rules, FINRA guidance, and the FTC Safeguards Rule — built before your examiner asks.

  • Written Information Security Policy (WISP)
  • Risk assessment & gap analysis
  • Vendor oversight documentation
  • Incident response plan & procedures

Financial Cybersecurity

Multi-layer threat protection designed for the attacks targeting financial firms — BEC, ransomware, credential theft, and insider threats — with continuous monitoring and rapid response.

  • BEC & wire fraud defense
  • Endpoint detection & response (EDR)
  • Dark web monitoring for firm credentials
  • Security awareness training for staff

GLBA & Data Privacy Compliance

Full Gramm-Leach-Bliley Act Safeguards Rule implementation — the technical controls, risk assessment, and ongoing oversight program the FTC now requires of financial institutions.

  • Safeguards Rule gap assessment
  • Encryption at rest & in transit
  • Access control & audit logging
  • Annual Board/Principal reporting

Business Continuity & Disaster Recovery

FINRA Rule 4370-aligned business continuity plans with documented RTOs, tested failover procedures, automated backups, and annual tabletop exercises — so a disruption never becomes a catastrophe.

  • Documented BCP & emergency contacts
  • Tested RTO/RPO for each critical system
  • Automated daily backups, offsite & cloud
  • Annual tabletop exercise & documentation

Cloud & Microsoft 365 for Finance

Secure Microsoft 365 and Azure deployments configured for the sensitivity of financial data — with data classification, proper retention policies, DLP rules, and MFA enforced across every account.

  • Microsoft 365 security hardening
  • Data loss prevention (DLP) policies
  • Secure email archiving & retention
  • Conditional access & MFA enforcement

24/7 Help Desk for Financial Professionals

Around-the-clock engineer support for advisors, analysts, and operations staff — covering trading platforms, portfolio management software, custodian portals, and compliance tools.

  • Orion, Black Diamond, Tamarac support
  • Redtail, Wealthbox, Salesforce FS Cloud
  • Schwab, Fidelity, TD custodian portals
  • Under-15-minute response time
27+
Years supporting
LA financial firms
<15m
Average response time
for critical issues
Fortune 1000
IT experience behind
every engagement
24/7
Live help desk —
always a real engineer

When our SEC examiner arrived, they asked for our Written Information Security Policy, access control logs, incident response plan, and vendor oversight documentation — all in the first hour. Pro Link had every document ready, organized, and current. The examiner noted it was one of the most prepared firms they'd visited. That alone was worth years of Pro Link's fees.

LA
Los Angeles Financial Services Client
Chief Compliance Officer · Registered Investment Adviser · Greater Los Angeles

We Know What Your Examiner
Will Ask For — Before They Ask.

We've spent 25+ years supporting financial services firms through regulatory examinations, cybersecurity incidents, and technology transformations. We understand the intersection of financial services compliance and practical IT operations.

SEC, FINRA & GLBA Safeguards Rule expertise built over decades
BEC defense that has stopped actual wire fraud attempts for our clients
Documentation-first approach — everything your examiner needs, always current
Fortune 1000 IT experience delivered at financial firm scale and budget
Woodland Hills, CA — on-site fast when Century City and Beverly Hills firms need us
27+
Years of Financial
Services IT
<15m
Avg Response
Time
24/7
Live Engineer
Help Desk
F1000
IT Experience
Backing Every Job

Financial Services IT — Answered

Yes. We have deep experience with the SEC's cybersecurity rule for registered investment advisers, FINRA's cybersecurity guidance, and the FTC Safeguards Rule (GLBA). We build the Written Information Security Policy, access controls, encryption standards, incident response procedures, and vendor oversight documentation your examiner will ask for — and we've prepared financial firms for regulatory examinations where all the documentation was ready when the examiner arrived.
BEC is the most costly cybercrime targeting financial firms. Our defense layers include: email authentication (SPF, DKIM, DMARC), advanced email threat protection that detects impersonation and spoofing, multi-factor authentication on all accounts, privileged access management, and security awareness training that specifically trains staff on recognizing wire fraud attempts. We also implement out-of-band verification procedures for wire transfer requests above defined thresholds.
Absolutely. The updated FTC Safeguards Rule requires financial institutions — including RIAs, insurance agencies, mortgage brokers, and CPAs with tax preparation services — to implement a comprehensive Written Information Security Plan. We conduct the required risk assessment, implement the required technical safeguards (encryption, MFA, access controls, monitoring), develop the WISP documentation, and manage the ongoing vendor oversight requirements. We also handle the annual reporting requirement for your Board or governing body.
Yes. We support the most common financial services platforms including Orion, Black Diamond, Tamarac, Redtail, Wealthbox, Salesforce Financial Services Cloud, Schwab Advisor Center, TD Ameritrade Institutional, and Fidelity WealthScape. We manage the endpoint configurations, network security, and authentication setup that keep these platforms running reliably and securely.
Our Business Continuity Plan for financial firms covers: documented recovery time objectives (RTOs) and recovery point objectives (RPOs) for each critical system, automated daily backups with offsite and cloud copies, tested failover procedures with documented results, a communication plan for clients and regulators during a disruption, and an annual tabletop exercise. FINRA Rule 4370 requires member firms to have a BCP — we build it to satisfy both the regulatory requirement and your actual operational needs.