Ampere Operations   Consulting

We understand the growing pains that our clients encounter.  Maintaining hard-won customer relationships can be challenging in the face of significant growth and strained or inadequate back-office systems.  With such a dynamic, it is critical to preserve the service that clients have come to expect, while being open-minded and creative in the setting of differing practices.

Broker Dealer Services 

Business growth is a fundamental goal of every firm.  But it isn’t always easy to preserve expected levels of customer service when back office operations cannot keep the pace with demand.  Moreover, businesses often are reactionary when growth happens, adding staff, policies, and infrastructure in an ad hoc fashion.  With our familiarity among various clearing platforms and operations workflows in the securities industry, we look forward to helping our clients streamline their practices and raise the bar when it comes to customer satisfaction.  Our operations services include:

Operations & Back Office Support-

• Improve back-office operations performance and efficiency 
• Develop operations department and back office workflow
• Train staff on operations procedures, internal system applications, and clearing firm platforms
• Provide daily branch operational support
• Answer daily operational issues with on-call services

Transition Services

Our personalized service model is the key to your success. Whether you are an established broker dealer seeking an alternative clearing option or an advisor interested in transitioning to another broker dealer, we create and execute your own customized transition plan to ensure a smooth and seamless conversion.  Among the transition services offered are:

Custodial Services-  

• Review and present clearing options
• Negotiate fee schedules
• Serve as liaison between IBD/RIA and clearing banks

Conversions and Account Transfer Services-

• Prepare and execute transfer (ACAT) paperwork
• Oversee outside asset and mutual fund re-registrations
• Assist clearing firms and broker dealer on all aspects of transfers or conversions
• Serve as primary contact for all parties pre- and post-transfer or conversion

Channel Partners

While maintaining securities operations and procedures as our core business, we understand that occasionally projects and client needs may require additional services.  With this in mind, Ampere Operations Consulting works closely with our Channel Partners operating on a national platform to provide additional resources to our clients.  Included among our Partners are:

• Compliance consultants
• E & O providers
• Clearing firms
• Investment advisor software companies
• Mutual fund companies

Our Channel Partners Program allows our clients to receive the critical business services they need through all stages of their business.