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About Broadridge

Post Trade Processing Managed Services

Redefine your operating model for brokerage processing

Achieve scale and improved client engagement with our leading technology and operational expertise for the investment lifecycle.

Streamline your operations while improving oversight

Streamline your operations for exceptional advisor and investor experience.

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FINRA Regulated Broker-Dealer
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Outcome-Based SLA
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Performance Transparency
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Enterprise-Wide Monitoring
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Real-Time Business Continuity
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Support High-Volume Trades

Learn More About Our Operating Functions

Clearance and Settlement

  • Trade balancing/matching
  • Purchase and sales trade reconciliation
  • Post-trade date correction
  • Vault/safekeeping services
  • Settlement processing

Asset Servicing

  • Corporate actions and proxy processing
  • Margin processing
  • Tax processing and reporting
  • Security master/pricing maintenance
  • Retirement/mutual funds processing

Regulatory Reporting

  • Customer protection
  • Net capital calculation
  • Accounting/financial reporting
  • Standard transmissions to Self-Regulatory Organization (SRO)

Risk and Control

  • Risk management
  • Trade monitoring
  • Firm balancing and reconciliation
  • Books and records retention


Trade Allocation

  • Rules-based engine for blocking, modifications and allocations
  • Support all markets and fees
  • Integrate directly with industry utilities: OASYS, CTM and GETC
How We Can Help

Leading technology and proven operations

Customer accounts supported by our managed services.
Billion in client assets supported by our managed services.
Waters Technology names Broadridge Best Outsourcing Provider to the Sell Side 2016 and 2017.
The data on this site is U.S. data unless otherwise stated.
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