Finance and insurance · Stock Broker Management Software

One connected system for account opening, client records, dormant accounts and commission sharing.

Run prospects, account opening files, client records, review dates, service requests, dormant accounts and introducer commission sharing in one system beside your trading platform. Each client code carries its papers, its dealer and its history. Orders, margin and risk checks stay on the platform your clearing broker or exchange supplies. This system holds the business that surrounds them.

Share your requirements

Stages and document lists entered as your own application forms define them
Client codes, dealers and introducers brought across from your workbooks
Slab and stage changes handled by GullySystem staff when you ask

Account opening, client records, service requests and commission sharing at retail brokerages and sub-brokers sit in Stock Broker Management Software, configured by GullySystem. Each client code holds its papers, review date and dealer. Dormant accounts are listed early. The sharing statement is checked line by line, and nothing in the system places or changes an order.

Where it breaks today

What goes wrong before the software.

Application files stall between desks

A form leaves the branch with the nominee page unsigned or the proof of address out of date, and the clearing broker returns it days later. The branch keeps no list. Nobody knows which files wait where.

Review dates pass unseen

Periodic KYC updates, bank mandate changes and nominee edits each carry a date, yet those dates live in the clearing broker’s portal and in dealers’ diaries. A lapse shows only when a client cannot trade. By then the lockout has happened.

Quiet clients leave without a word

Trade files arrive every morning, but nobody sets a client’s turnover against that same client’s own past weeks. A client who traded weekly and then stopped is noticed when the transfer-out request lands. It is late.

Sharing statements are hard to check

Slabs differ by segment, and reversals, delivery and intraday splits and client code changes all move the payout. Few branches have the hours to match each statement line against their own trade report. So gaps pass.

Client requests sit in dealers’ chats

Ledger questions, payout requests and contract note queries reach dealers on personal phones. When a dealer resigns, the open requests walk out with the handset, and clients must explain everything again. Trust drops.

Introducers are paid from a workbook

Each sub-broker or authorised person has an agreed share by slab, and the working lives in one employee’s sheet. A dispute over one month means rebuilding it from raw trade files. That takes days.

How it runs

How the work flows through it, step by step.

Illustration with sample figures. Your screens are built around your own records.

1
Prospect
Walk-ins, introducers and seminars each open an enquiry that carries its source and the dealer who owns it. A follow-up date is fixed, and the outcome is kept whether or not the person opens an account. Nothing is forgotten.
2
Application
The documents your clearing broker asks for are listed for that client type, such as individual, joint or corporate. Papers are ticked off as they arrive. A missing page is named on the file, and the stage moves from received to checked to sent.
3
Activation
The clearing broker returns the client code, and the system holds it against the client, the dealer and the introducer. The welcome message goes out. The first review date is set that same day.
4
Servicing
Ledger, payout, contract note and login queries become numbered requests with a named owner. Dealers answer from the same record. The days taken to close each request are kept for the compliance officer.
5
Monitoring
Morning trade and turnover files are loaded, and clients trading below their own usual pattern appear on a call list. Review dates coming due are shown alongside. The dealer calls the biggest balances first.
6
Month end
The sharing statement is loaded and compared with the share expected by client code, slab and segment. Gaps are listed with a reason. The payout to every introducer is then drawn from the agreed terms.

Modules

What is inside.

Every module can be switched on, left out or changed to match how your team already works.

Enquiries and prospects

Log every prospect with its source, the dealer who owns it and the next call date. Introducer referrals and walk-ins sit in a single list, and conversions to opened accounts are counted by source.

Account opening tracker

Follow each application from form received to client code issued. The document list changes with the client type. A missing signature page or proof of address is named on the file, so the back office chases the right paper.

Client master and linked accounts

Hold one record per client with the client code, bank details, nominees, linked family accounts, dealer and introducer. A query never starts with a search through three workbooks. The dealer opens the record and answers.

KYC papers and expiry dates

File identity proofs, address proofs and signed forms against the client. Expiry and review dates sit beside each paper, with the oldest dates first. The back office works down the list each morning.

Review and update reminders

Remind clients and dealers when a periodic update, mandate change or nominee edit falls due. The reminder goes out by message or email. The reply is logged on the client file for the compliance officer to read.

Client requests and complaints

Raise a numbered request for each ledger, payout, statement or login query, with an owner and a close date. Complaints carry their own log. The compliance officer reads both lists in one place.

Dormant and falling-activity list

Load the morning trade and turnover files and compare each client with that client’s own history, or with a plain number of days without a trade. Quiet codes are ranked by balance held. The valuable calls come first.

Commission sharing and reconciliation

Hold the agreed slabs by segment and introducer. Compare the expected share with the clearing broker’s statement, list each gap with its cause, and work out what each introducer is owed.

Dealer and introducer dashboard

Show new accounts, active codes, dormant codes and brokerage by dealer and introducer before the weekly meeting. An introducer’s quiet codes sit beside the brokerage that person brings. The branch head sees who needs a visit.

Approvals and change history

Route exceptions such as a waived charge, a slab change or a reopened file to a named approver before they take effect. Every edit to a client record keeps who made it and when. No record changes unseen.

Solutions inside

The business modules it is built from.

Each one is also available on its own, or inside a system built for you.

Contact & Account Management
One record per client links the client code, bank details, nominees, family accounts, dealer and introducer, so a query opens the right person at once.
Document Management
Identity and address proofs and signed forms are filed against the client, with expiry and review dates held beside each paper for the back office.
Workflow and Approvals
A waived charge, slab change or reopened application goes to a named approver, and the decision is stored on the client file.
Audit Trail
Every edit to a client record keeps the user and the time, so the compliance officer can read what changed on any file.
Ticket Management
A ledger, payout or login query becomes a numbered request with a dealer as owner, a close date and a count of days taken.
Commission and Incentives
Slabs by segment and introducer are held with effective dates, and the monthly share is worked out from the branch’s own trade report.
WhatsApp, SMS and Email Notifications
A periodic update, mandate change or nominee edit falling due sends a message to the client and the dealer, and the reply is logged.
Dashboards and KPIs
New accounts, active and dormant codes and brokerage appear by dealer and introducer, ready for the weekly meeting without a spreadsheet.

Services

How we would put it in.

Setup, data migration, integrations and anything built on top.

All solutions

Every part of the system, by area.

Take the modules you need. Each one works on its own or inside a larger system built for you.

AI by department

Who uses it

One system, each person sees their part.

For dealers and relationship managers

See your own clients, open requests, review dates and quiet accounts on a phone. Log a call in a few taps. Fix the next call before you put the handset down.

For the back office

Check application files, chase missing pages, load the morning trade files and close client queries from one screen. The stage of every file is visible. Nobody rings the clearing broker’s desk to ask.

For the compliance officer

Read the complaints log, the review dates falling due and the change history of any client record. Exceptions that needed approval are listed with the approver’s name and the date. Inspection questions are answered from here.

For owners and branch heads

Read new accounts, dormant balances and brokerage by dealer and introducer, then compare the expected sharing statement with what the clearing broker actually paid.

Reports

The numbers the owner asks for.

Applications by stage, with the oldest waiting file and the document it lacks
Review and update dates falling due, by dealer and client type
Dormant client codes ranked by securities and ledger balance held
Brokerage by dealer, introducer, segment and month
Sharing statement gaps by client code, with the cause and the status of each dispute
Open requests and complaints by dealer, with days taken to close
Prospects by source and the share that opened an account

Good fit

Who this is built for.

Retail stock brokerages with several branches and a team of dealers
Sub-brokers and authorised persons who bring clients to a clearing broker
Introducing brokers that are paid a share of brokerage by slab and segment
Franchise broking offices that keep their own client servicing and back office
Branch heads who need a client and revenue record outside the trading platform

Honest answer

When it is not the right choice.

A business looking for an order terminal, a risk engine or a margin system will need the licensed platform from its clearing broker or exchange, which this does not replace.
An adviser who charges fees on managed portfolios needs holdings and fee billing, which is a different build from this brokerage record.

Made to fit

Adapted to your business before it goes live.

You are not handed a login and left to it. The product is set up around your records, your people and the tools you already use.

Application stages and papers

Your clearing broker fixes the stages. Papers differ by client type, and each has a named checker. Stages, papers and checkers follow the layout of your own forms, so staff meet familiar steps at every screen.

Commission slabs

Your agreed shares by segment, slab and introducer are set up, with the effective date of each change so an older month is still worked out correctly.

Dormancy rules

The period and pattern that count as quiet for your clients are set with your branch heads, and can differ between client groups.

Roles and approvals

Who may see which client, who approves a waived charge and who reads the complaints log are set per branch and per role.

Works alongside

Trade and turnover file import
Clearing broker statement import
WhatsApp and other messaging
SMS
Email
Accounting export

Common questions

Questions owners ask before a demo.

Does it place orders or connect to the exchange?

No. Order entry, margin and risk checks stay on the licensed platform from your clearing broker or exchange, and this system never touches them. It works only with the client, service and revenue records that surround trading.

Can it read the files our clearing broker sends each morning?

Yes, where the file arrives in a fixed layout, such as a trade file, a ledger export or a sharing statement. Each layout is mapped once during setup. After that, loading takes a few clicks.

How are dormant clients decided?

A client is compared with that client’s own past activity, and the rule can also use a plain number of days without a trade. Your branch heads agree the rule during setup. They can change it later.

Can it work out what we owe our introducers?

Yes. Slabs by segment are held for each sub-broker or authorised person, and the monthly payout is drawn from your own trade report. The same figures are then set against the clearing broker’s statement, line by line.

Where are client papers kept, and who can open them?

Scans of identity and address proofs sit against the client record. Roles decide who may open them, and every view or edit of a sensitive paper is logged with the user’s name and the time.

Where do our current client workbooks go?

They are cleaned and loaded during setup, with client codes matched to dealers and introducers. Rows that match nothing come back to you as a short list. No row is dropped quietly.

Can a client or an introducer log in?

Introducers can, and a client login can be scoped with you. An introducer sees only its own clients and its own sharing figures. Clients are otherwise served through requests that your team logs.

Can we try it on our own data first?

Yes, in a demonstration built from a sample of your own application forms and slabs. A written proposal then sets the scope, the roles and the figure for your branches. You are bound to nothing until you accept.

What if we later want our records elsewhere?

Your client, request and sharing records leave as spreadsheets or database files whenever you ask. The format is agreed in the proposal, so a later move to another system does not strand your history.

What shapes the price for a broking office?

Branches, the dealers and back-office users, and the file imports from your clearing broker shape the figure. Messaging sits outside the base figure, and so does any accounting hand-off. Client workbooks to bring across add work. Nothing is priced before a demonstration on a sample of your own forms. The proposal then lists each part.

Which back-office records could be in use before the dormancy lists are built?

Enquiries, the account opening tracker, the client master and KYC papers with expiry dates would go in first. Review reminders and client requests follow. The dormant list, commission sharing, dashboards and approvals come last. The proposal gives dates. Clearing broker file layouts decide how the imports go.

What should the compliance officer and back office have to hand?

Have your current client workbooks, the application stages and papers your clearing broker requires, commission slabs by segment and introducer, and sample trade and turnover files. Your dormancy rule must be written down. Dealers, the back office and compliance should each nominate someone. Sample statement files from the clearing broker help.

Wondering what it would cost? Share your requirements and an engineer will come back with a scope.

Industries

Built for.

The trades this product is set up for. Pick yours to see how the work runs there.

Stock brokers

Related products.

Your requirements

See Stock Broker Management Software set up around your records.

Tell us how you run things today. An engineer reads it and writes back with what fits as it is, what would need changing, and what we would start with.

What happens after you share your requirements

A senior engineer reads your answers. Nobody phones first.
Within one business day you get a written note: what we understood, what we would start with, and the questions we still have.
If it fits, a proposal follows with the order of work, what we need from you and what you receive at each step.
No call is booked and nothing is paid until you have read the note. Your details stay with us.

Start with your requirements

Seven short steps that tell us what you need. A senior engineer reads them before anyone gets in touch.