IT Support for Financial Advisors in Lakewood Ranch
Registered investment advisors face an SEC enforcement environment that keeps tightening: documented MFA, a written Information Security Program (WISP), and vendor-risk reviews. Simple IT SRQ runs the IT and the documentation together - quarterly phishing tests packaged for the compliance binder, encrypted email that doesn't break Outlook, and the GLBA Safeguards paperwork your examiner reads first.
What we deliver for financial advisory firms in Lakewood Ranch
Financial advisory firm, LWR Main Street
SEC + GLBA documentation written to what examiners actually ask in 2026, MFA hardware keys on every admin account, encrypted email workflows that don't break Outlook, and quarterly phishing tests with results packaged for the compliance binder.
Where we focus for this industry
- SEC + GLBA-aligned Written Information Security Program (WISP)
- Hardware MFA keys (YubiKey 5C) on every admin and reviewer account
- Encrypted email workflows that don't break Outlook desktop
- Vendor-risk register kept current between exam cycles
- Quarterly phishing simulations with results packaged for compliance
- Annual Risk Assessment refresh aligned to SEC examination priorities
Service area coverage in Lakewood Ranch
We serve Lakewood Ranch Main Street, Waterside Place, Country Club East, Central Park, the UTC corridor, and the business parks along SR-70 and the surrounding Lakewood Ranch metro for financial advisory firms IT needs. If your practice or office is in one of these areas, a Simple IT SRQ engineer can be there on-site the same day for urgent break-fix.
Common Lakewood Ranch landmarks and districts we support include Lakewood Ranch Main Street, University Town Center (UTC) mall, Waterside Place, Lakewood Ranch Medical Center, Center Point corporate park.
Frequently asked — financial advisory firms
Do you understand SEC examination priorities?
Yes - we track the SEC's Division of Examinations annual priorities letter and update our compliance deliverables accordingly. The 2026 priorities are still: cybersecurity (especially MFA + identity), vendor risk, books-and-records preservation, and fee-and-expense disclosures. We cover the first three.
Can you help us pass a regulatory exam?
We've supported active clients through SEC + state-level adviser exams. We don't represent you to the regulator - that's your compliance officer's role - but we sit in the back, hand-deliver the technical evidence the examiner asks for, and follow up on anything they want clarified.
What MFA do you require?
Hardware keys (YubiKey 5C NFC) on every account that has admin or client-data access - not SMS, not push-notification authenticator apps. SMS is no longer accepted by the SEC's preferred guidance and is explicitly excluded from most 2026 security reviewer questionnaires for advisor firms. We issue 2 keys per advisor.
Do you write the WISP?
Yes - we deliver a fully-customized Written Information Security Program covering all four GLBA Safeguards categories (Access Controls, Encryption, Monitoring, Disposal) plus the Information Security Risk Assessment that SEC examiners now ask for. Refreshed annually.
Can you handle our outside-vendor due diligence?
Yes. We maintain a vendor-risk register listing every third-party tool that touches client data (your CRM, planning software, custodian portal, e-signature provider, etc.), the SOC 2 status of each, the BAA/DPA signed (if applicable), and the last review date. Refreshed before every exam cycle.