IT for Financial Services & Wealth Management
IT and cybersecurity for RIAs, wealth managers, and financial advisors under SEC and FINRA compliance
SEC-compliant cybersecurity and managed IT for Cincinnati financial advisors and wealth managers
Call us today
513-400-4072
Financial advisors hold their clients’ most sensitive data. The SEC, FINRA, and cyber insurance carriers all have something to say about how you protect it.
The Compliance and Security Burden Is Real
- SEC Rule 206(4)-9 (2023) requires written cybersecurity policies and incident reporting
- Client data breach liability — one incident can destroy years of trust
- FINRA audit readiness — can you produce your security documentation on demand?
- Remote advisor access that’s convenient but not a security liability
- Wealthbox, Smartstation, and CRM integrations that need to work reliably and securely
WHAT YOU GET WITH TITAN TECH
- SEC-Compliant Cybersecurity Program: Written policies, incident response plan, and annual assessment documentation
- SIEM & MDR: 24/7 threat monitoring with Huntress and SentinelOne — required by leading cyber insurers
- Encrypted Communications: Secure email, file sharing, and client portal integrations
- M365 with Data Loss Prevention: Microsoft 365 configured with DLP policies to prevent client data leakage
- Client Data Backups: Encrypted, tested, offsite backups of all client and firm data
- Wealthbox & Smartstation Support: Helpdesk and infrastructure support for your CRM and practice management platforms
Why Financial Firms Choose Titan Tech
Financial advisors and RIAs face a unique challenge: every client interaction, every email, every document is a potential compliance and security event. SEC and FINRA require documented security programs, access controls, and breach notification procedures. Titan Tech delivers IT and cybersecurity specifically designed for financial services firms — from registered investment advisers to wealth management offices. We understand the regulatory environment and have the technology stack to match: encrypted communications, SOC 2-aligned infrastructure, email archiving, and mobile device management that keeps your practice compliant without slowing it down.
Protecting Client Data & Meeting Fiduciary Obligations
Financial advisors and RIAs have a fiduciary duty to their clients — and that extends to protecting their sensitive financial data. The SEC’s 2023 cybersecurity rules require registered advisors to have written policies, incident response procedures, and annual risk assessments. Titan Tech helps Cincinnati-area financial firms build and document these programs in a format that satisfies regulators and genuinely protects client data.
We deploy encryption at rest and in transit, multi-factor authentication on every system that touches client data, privileged access management, and endpoint detection and response. We also help firms understand their data flows — where client PII lives, who can access it, and how it’s backed up — which is foundational to both compliance and security.
- Written cybersecurity policies aligned to SEC Rule 206(4)-9
- MFA and privileged access management
- Encryption of client data at rest and in transit
- Annual risk assessments with documented findings
- Incident response planning and tabletop exercises
Worry-free It Is Only 3 Steps Away
Consultation
We learn your compliance requirements, current infrastructure, and risk tolerance — then build a security roadmap around SEC and FINRA expectations.
Sign Up
We implement cybersecurity controls, documentation, and monitoring that satisfy your regulatory obligations and protect client data.
Deploy
We provide ongoing managed IT and security services, annual assessments, and compliance documentation — so you’re always audit-ready.