Fintech Product Strategy for Broker-Dealers

From trading platform design to regulatory compliance, Sofrono brings 20+ years of hands-on experience at E*TRADE, Schwab, and OptionsHouse to help broker-dealers build better products.

Challenges We Understand

Regulatory Complexity

Every feature touches compliance. New products require careful navigation of SEC, FINRA, and state regulations while maintaining competitive velocity.

Technology Modernization

Legacy systems constrain innovation. Modernizing trading platforms, clearing integrations, and client-facing tools requires deep domain expertise.

Competitive Pressure

Zero-commission trading changed the landscape. Differentiation now comes from platform experience, execution quality, and value-added services.

How We Help

Trading Platform Strategy

Product roadmaps for equity, options, and multi-asset trading platforms. Feature prioritization that balances innovation with compliance.

UX for Complex Workflows

Interface design for order entry, options chains, account funding, and margin management. Intuitive experiences for sophisticated trading.

Mobile Trading Experience

Mobile-first design for trading apps. Native iOS/Android strategy and responsive web that meets customers where they are.

AI Integration

Intelligent automation for client service, compliance monitoring, and operational efficiency. Practical AI that delivers measurable value.

Relevant Experience

  • E*TRADE: Director of Retail Mobile Experience, leading the mobile trading platform used by millions of customers
  • OptionsHouse: Product Manager for all new trading platforms (later acquired by E*TRADE)
  • Charles Schwab: Product Manager for trading and brokerage systems
  • Sarna Technologies: Built risk management platform and brokerage API from the ground up

Services for Broker-Dealers

Agent-Ready Audit™

Make sure AI assistants can find and recommend your brokerage when potential clients ask for options trading platforms or investment services.

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FINRA Compliance Review

Rule 2210 analysis for your marketing content. Catch compliance issues before they become problems.

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Let's Talk About Your Platform

Whether you're building a new trading product, modernizing legacy systems, or navigating AI integration, we'd like to hear about your challenges.

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