Self-Clearing & Technology

Benefit from an integrated platform built for financial institutions.


the first firm in the financial institution space to be self-clearing

Because of our dedication to financial institutions, we deliver integrated technology, support, research, and reporting systems designed specifically for financial institutions. It makes for an intuitive fit—one that can’t be matched by companies splicing together offerings from the independent side.

We led the way as the first firm in the financial institution space to be self-clearing. This allows us to aggregate data that is built around your financial structure and feeds directly into your bank or credit union systems. This supports capabilities that are not possible when using a third-party clearing house. Our solutions are focusing on providing meaningful data, not on adding to your stack of paperwork.

Our integrated technology process can provide you with:

Total accountability

100% quality control

Compliance integration

Data consolidated views

A one-stop center for all questions and answers

Fully integrated performance reporting

Data mining for new opportunities


SmartWorks® is our online integrated technology platform that puts everything you need to manage your business efficiently within a few mouse clicks. One single sign-on empowers you to run your business efficiently, from brokerage accounts and annuity processing to commissions paid—it is all in SmartWorks.

Open accounts, place trades, retrieve client notes, view current account data, access market intelligence, review performance through multilevel reporting capabilities, even set up complete marketing campaigns wherever you’re connected to the Internet. With powerful data aggregation tools and reports, and paperless processes, we can enhance efficiency, so you can spend less time processing and more time doing what matters most—helping clients.

DataPak - Client Data File Extract

Build the Data Stream You Want to See

What could you do with the power to dig deep into client data, slice and dice it as you see fit, and use it to provide an enhanced client experience and uncover new opportunities? And what if you could also tap into the power of that data and turn it into business intelligence designed to grow your bottom line?

Exclusively from Cetera Financial Institutions, DataPak® puts you in control of client data. You get what you want, when you want it, pulling client data directly into your current systems. DataPak allows you to give your clients what they expect—all their financial information in one place—while giving you the business intelligence to grow your bottom line.

Use DataPak to

Give your clients better insight into their finances

Display client investment balances and positions through your website

Review client purchase histories to identify marketing opportunities

Create propensity-to-buy models to help drive household penetration of your products

Analyze clients by profitability

Measure the success of your program