Financial advisor messaging in a networked computer system

US7590579B2 · kind B2 · utility

Assignee

• UBS Financial Services Inc. · US

Inventors

• Justin Data · Ossining, US
• Michael Rizzo · Moody Cove, US
• Rohit Kataria · Union City, US
• Phil Hsu · Waldwick, US
• J. Chris Marsh · Bellinzona, CH
• Grace Davitt · Berkeley Heights, US
• Syed Wajahat Ali · Scotia, US
• Mark Distaulo · Hoboken, US
• Jangliw Passavant · West Orange, US

Key dates

• Filing date: Feb 11, 2003
• Grant date: Sep 15, 2009
• Expiry date: Apr 5, 2026

Classification

• Technology area (CPC G): Physics
• CPC primary: G06Q40/06
• WIPO field: IT methods for management
• WIPO sector: Electrical engineering

Abstract

The present invention provides systems and methods for financial advisor messages in a networked computer system. A financial advisor associated with a financial services organization determines clients to receive a message, the financial advisor determines the message, and the message is transmitted over the network to be accessible by the clients. Methods are provided in which the message is required to be determined to be compliant prior to transmission to the clients. Methods are also provided in which individuals associated with the financial services organization, such as the financial advisor, are notified of a non-compliant message.