WinOPS is a complete Broker/Dealer Back Office Administration system designed primarily for independent and insurance subsidiary firms. If you are paying 75% to 90% of the dealer concession out as commission and overrides, WinOPS is the system for you. If you want a system that is fast, powerful, easy to learn and does not require you to hire a team of techies, WinOPS is the system for you.   The basic premise behind WinOPS is simplicity.  With a product to sell, a rep to sell it, and a customer to buy it, your Broker/Dealer is ready to enter new orders and start automating your operations in a short period of time.     Techmate, Inc. services firms that range from six reps to over six thousand reps.  In total, more than  30,000 registered reps at over seventy broker/dealers receive their commissions through WinOPS.  We would love to see if we can save you time and money by adding your reps to that number. 

Basic WinOPS Flowchart designed for the Broker/Dealer.

Products 

Representatives 

Branches 

Customers

Orders

Systematic Processes

Commission Process

Miscellaneous Features 

Products

• Pre-Built Product Families (Approx. 225)
• Pre-Built Products (Approx. 4,000)
• Product Family Address/General Information
• Transfer Agent Address/General Information
• Product Breakpoints for Concession Calculations
• Blue Sky Information for Compliance
• License/Appointment Tracking for Compliance
• Required Customer Income/Net Worth Tracking
• Unlimited Customization Fields (Free Form, Drop Down Lists, Dates, etc.)
• Holdings (Asset) Information by Product
• Imaging Capabilities (Auto Feed/One Sheet)
• Association of Products
• Product Pricing Information
• Sales Year To Date per Product
• Automatic Price File Download
• Quick View of Orders / Holdings 

Representatives 

• NASD Status/Registration Information
• Licensing Information
• Unlimited Contact Information
• Customizable Commission Payouts to fit all types of schedules (Splits/Overrides)
• Alias Information for Multiple Rep #'s
• EFT Commission Payment Option
• Unlimited Customization Fields (Free Form, Drop Down Lists, Dates, etc.)
• Sales Year To Date Information
• Systematic Ticket Charges
• Automatic Calculation of Licensing Fees
• Association of Representatives
• Continuing Education Tracking
• Electronic Commission Statement Delivery
• 1099 IRS File Creation / Data Export
• Example Rep Reports
1. NASD Licensing Report
2. Rep Override Structure
3. Sales/Earnings Report
4. Representative Roster
5. Adjustments & Deductions
6. Commission Statements
7. Commission Checks
8. Commission Override Summary

• Imaging Capabilities (Auto Feed/One Sheet)
• Quick View of Customers / Orders 

• NASD Licensing Information
• Unlimited Contact Information
• Branch Inspection Information
• Quick View of Reps/Customers/Orders
• Unlimited Customization Fields (Free Form, Drop Down Lists, Dates, etc.)
• Multi-Level Branch Capabilities
• Segregated Mailing / Shipping Information

• Unlimited Contact Information
• Banking Information
• Financial Information (Suitability Information
• Employer Information
• Documents Received Information
• Unlimited Customization Fields (Free Form, Drop Down Lists, Dates, etc.)
• Association of Customers
• Customer Holdings (Assets) Information
• Split Representatives on Specific Customers
• Example Customer Reports
1. Customer Statements
2. Asset Summary Report
3. New Account Form
4. Churning Report

• All types of Transactions

1. Mutual Funds
2. Variable Annuities
3. Variable Life
4. Stocks
5. Bonds
6. Stock Options
7. Miscellaneous Adjustment & Deductions
8. Trail Commissions

• Customization Fields (Free Form, Drop Down List, Dates, etc.)
• One-Time Commission Payout Capabilities / Order
• Statement Posting tool for Quick Posting
• Mutual Fund Download Capabilities
• Clearing Firm Download Capabilities
• Miscellaneous Ticket Charge Capabilities
• Letter of Intent Transactions
• Rights of Accumulation Transactions

• Mutual Fund Downloads
• Clearing Firm Downloads
• DST FAN Mail Downloads
• DAZL Downloads
• Automatic Price File Download
• Systematic End of Day Process (Blottering)
• Systematic Commission Process
• Electronic Commission Statement Delivery
• Imaging Capabilities (Auto Feed/One Sheet)
• Off-Cycle Automated Processing Capabilities (Synchronization, Backups, etc.)

• Automated Calculation of Commission Payouts based upon Rep Rates
• Automatic Update of Rep's 1099 Earnings File
• EFT Commission Payment Option
• Electronic Commission Statement Delivery

• Customizable Security Options by Users
• Internal Backup Procedures During Various Systematic Processes (End of Day, Commissions)
• Database Backup Options as Needed  
• WinOPS includes a Custom Report Writer
• Customizable Drop Down List Boxes (Code Tables Modified for Various Needs of the B/D)
• Imaging Capabilities (Auto Feed/One Sheet)
• Off-Cycle Automated Processing Capabilities (Synchronization, Backups, etc.)