Investment Services

Markets move fast. Your clients' questions can't wait for a callback.

AI agents and multilingual specialists that handle trade inquiries, account transfers, and market-driven call surges in 65+ languages — with compliance guardrails at every step.

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What happens when a customer reaches out

Real scenarios, resolved by AI agents in real time.

Phone

"Why hasn't my transfer from my old broker gone through?"

ACAT transfers are the top frustration driver

  1. Client calls about a delayed account transfer from another firm
  2. AI checks ACAT status and identifies the holding up the transfer
  3. Explains the specific issue and estimated resolution timeline
  4. Offers to coordinate directly with contra firm if client authorizes
Handled without escalation transfer status clarified
Live Chat

"I want to set up automatic monthly investments"

Recurring investment setup request

  1. Client opens chat in Mandarin to configure systematic investing
  2. AI walks through fund selection and contribution amount options
  3. Confirms bank account linkage and investment schedule
  4. Sends confirmation with first scheduled investment date
Resolved automatically auto-invest configured
Email

"I need my cost basis report for tax filing"

Seasonal document request — peaks in Q1

  1. Client emails in Spanish requesting cost basis documentation
  2. AI identifies applicable accounts and tax lot method on file
  3. Generates and sends consolidated cost basis report as PDF
  4. Includes note about wash sale adjustments if applicable
Report delivered tax documents sent
WhatsApp

"Can I roll my 401k into an IRA with you?"

Rollover inquiry — high lifetime value opportunity

  1. Client messages in Portuguese asking about 401k rollover process
  2. AI explains rollover types: direct vs. indirect and tax implications
  3. Collects current plan details and generates rollover initiation form
  4. Schedules call with advisor to finalize rollover strategy
Consultation scheduled rollover initiated

Your global support team

AI handles volume. These are the people behind the hard stuff.

65+ Languages

  • Native-speaking agents in English, Spanish, Mandarin, and 60+ more
  • Real-time AI translation for rare language pairs
  • Cultural context training for every market we serve

Follow-the-Sun Coverage

  • Operations in Philippines, Colombia, Pakistan, and 6 more countries
  • Seamless handoff between time zones with shared context
  • Holiday and weekend coverage without overtime costs

Investment-Trained Specialists

  • Knowledgeable in ACAT transfers, mutual fund operations, and retirement account rules
  • Experienced with platforms: Pershing, National Financial, DST, SS&C
  • Trained in FINRA communication standards and suitability documentation

Regulatory Compliance Built In

  • FINRA Rule 2210 compliant communication review and archiving
  • SEC Rule 17a-4 electronic recordkeeping requirements
  • Regulation Best Interest suitability documentation for all recommendations
  • SIPC coverage disclosures included in account-related communications

See how AI handles market-driven call surges without compliance risk

We'll demonstrate transfer support, account servicing, and document delivery with your custodian systems.

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