Gradius - IT Solutions Provider
Financial Services Cybersecurity | NJ, NY & CT | Gradius IT Solutions
Now Serving NJ, NY & CT

Financial Services CybersecuritySEC. FINRA. GLB. NY DFS.
BEC Defended. Client Data Secured.

Financial services firms operate under a cybersecurity regulatory framework that no other industry matches for complexity or consequence. SEC-registered investment advisors must comply with Regulation S-P's safeguards requirements and the SEC's 2023 cybersecurity disclosure rules requiring documented programs, annual review, and Form ADV disclosure. FINRA-registered broker-dealers must meet FINRA cybersecurity guidance and Rule 4370 business continuity planning. Every financial firm handling consumer data is covered by the GLB Act Safeguards Rule. New York-licensed financial entities face NY DFS Part 500. And across all of these — business email compromise targeting financial services firms is among the highest-dollar cybercrime categories tracked by the FBI. Gradius delivers cybersecurity programs built for financial services firms — compliant across the applicable regulatory stack, defended against the BEC attack patterns specific to financial services, and protective of the client financial data that defines the firm's fiduciary obligation.

📋 Get a Free Assessment → 📞 866-710-0308
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SEC Reg S-P, FINRA, GLB & NY DFS compliant
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BEC & wire fraud defense
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Client financial data secured
Free Financial Services Security Assessment
SEC, FINRA & GLB Compliant Cybersecurity —
Free Assessment.
No commitment. We respond within 1 business hour.
or call us directly
📞 866-710-0308
99.9%
Uptime SLA Target
<15m
Response Time
24/7
NOC & SOC
FinServ
Compliant
Financial Services Cybersecurity — NJ, NY & CT SEC Reg S-P & Cybersecurity Disclosure Compliance FINRA Rule 4370 & Cybersecurity Program GLB Act Safeguards Rule Implementation NY DFS Part 500 — NY-Licensed Entities BEC & Wire Fraud Defense Client Financial Data Security Breach Notification — SEC, FINRA & State Laws RIAs, Broker-Dealers & Financial Advisors Financial Services Cybersecurity — NJ, NY & CT SEC Reg S-P & Cybersecurity Disclosure Compliance FINRA Rule 4370 & Cybersecurity Program GLB Act Safeguards Rule Implementation NY DFS Part 500 — NY-Licensed Entities BEC & Wire Fraud Defense Client Financial Data Security Breach Notification — SEC, FINRA & State Laws RIAs, Broker-Dealers & Financial Advisors
99.9%
Uptime SLA
Target
<15m
Avg Help Desk
Response Time
24/7
NOC & SOC
Coverage
BEC
Wire Fraud
Defended
The Cybersecurity Program

Financial Services Cybersecurity Built Around
the Regulatory Stack and the BEC Threat

Financial services cybersecurity is defined by two realities: the most complex regulatory compliance framework in any industry, and the highest-value BEC targets in the economy. Here's each component of the Gradius financial services cybersecurity program.

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SEC Reg S-P & Cybersecurity Disclosure Compliance
Regulation S-P requires every registered investment advisor to implement written policies and procedures reasonably designed to protect client records and information. The SEC's 2023 cybersecurity disclosure rules add requirements for a documented cybersecurity risk management program, annual review, and disclosure in Form ADV. These obligations apply to a solo RIA the same as they apply to a large firm — and the SEC has made clear that examination staff will scrutinize whether the written program reflects actual security controls rather than aspirational policies. Gradius builds SEC-compliant cybersecurity programs for financial advisors and advisory firms — documented, current, and functionally implemented so examination readiness is the default state.
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FINRA Cybersecurity Program & Rule 4370 Compliance
FINRA-registered broker-dealers and registered representatives must meet FINRA cybersecurity guidance, which includes requirements for cybersecurity risk assessment, access controls, encryption, patch management, and incident response procedures. FINRA Rule 4370 requires written business continuity plans that address technology disruptions and data backup. FINRA supervision requirements for electronic communications create specific email archiving and retention obligations. Gradius builds FINRA-compliant cybersecurity programs — implementing the required technical controls and maintaining the documentation that FINRA examination staff look for, including the business continuity plan provisions that address cybersecurity scenarios.
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GLB Act Safeguards Rule & NY DFS Part 500
The Gramm-Leach-Bliley Act Safeguards Rule requires all financial institutions that collect consumer financial information to implement and maintain a comprehensive information security program — with specific requirements updated in the 2023 amended rule including encryption, multi-factor authentication, access controls, and an annual penetration test for larger institutions. New York-licensed financial entities are additionally subject to NY DFS Part 500, which includes requirements for a CISO designation, annual certification to DFS, penetration testing, and vulnerability scanning. Gradius implements GLB Safeguards controls and, for NY-licensed entities, the additional DFS Part 500 requirements — as a coordinated program rather than separate compliance exercises.
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BEC & Wire Fraud Defense — Financial Services Is the Top Target
Business email compromise targeting financial services firms is among the highest-dollar cybercrime categories in the FBI's annual Internet Crime Report. The attack pattern is specific: compromise advisor or firm email, monitor client communication patterns and anticipated wire activity, then issue fraudulent wire instructions timed to expected transactions. A single successful attack can redirect a client wire transfer of six figures or more — triggering immediate regulatory reporting obligations, client notification, and reputational damage that independent advisors and smaller firms may not recover from. Gradius implements the specific defenses this attack chain requires: DMARC/DKIM/SPF authentication, advanced email security with financial services impersonation detection, MFA on all financial system and email access, and staff training on financial BEC patterns.
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Client Financial Data Security — Protecting What Clients Share in Confidence
Financial advisory clients share their most sensitive personal information — account numbers, Social Security numbers, tax returns, estate documents, detailed financial circumstances — on the expectation that it will be protected. The GLB Safeguards Rule creates a legal protection obligation. A data breach creates state notification obligations, potential regulatory action, and trust damage that client relationships may not survive. Gradius implements layered client data protection: role-based access controls limiting who can view client financial information, endpoint encryption protecting data on advisor devices, email security preventing unauthorized transmission of sensitive client files, and data loss prevention monitoring for unauthorized export.
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Breach Notification — SEC Reporting, FINRA, State Laws & Cyber Insurance
A cybersecurity incident at a financial services firm triggers notification obligations that are among the most complex of any industry. SEC-registered advisors must report material cybersecurity incidents within defined timeframes under the 2023 cybersecurity disclosure rules. FINRA requires incident reporting for broker-dealer members. NJ, NY, and CT state data breach notification laws are triggered when personal financial information is compromised. Cyber insurance carriers require timely notice. Gradius identifies the specific reporting obligations triggered by an incident, coordinates the documentation required for each regulator and insurer, and works with the firm's legal counsel to meet notification timelines without inadvertently expanding liability.
All Services

The Complete Financial Services Cybersecurity Program —
Every Regulation, Every Threat

One partner. One program. SEC Reg S-P compliance, FINRA program documentation, GLB Safeguards implementation, NY DFS Part 500 controls, BEC wire fraud defense, client data security, and breach notification coordination — delivered as a complete, continuously maintained cybersecurity program for financial services firms across NJ, NY & CT.

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Financial Services Cybersecurity
Financial Services Cybersecurity Program

Complete cybersecurity for financial services firms in NJ, NY & CT — SEC Reg S-P and cybersecurity disclosure compliance, FINRA cybersecurity program and Rule 4370, GLB Act Safeguards Rule, NY DFS Part 500 (for NY-licensed entities), BEC and wire fraud defense, client financial data security, and breach notification coordination. RIAs, broker-dealers, financial advisors, and financial services firms of all types. Flat-rate, continuously maintained.

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Cybersecurity
Cybersecurity & SOC

24/7 U.S.-based SOC, endpoint detection & response (EDR), email security, and incident response — stopping threats before they impact your business.

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Cloud
Cloud & Microsoft 365

Fully managed Microsoft 365, Azure, cloud migrations, and virtual desktop — secured, optimized, and supported so your team works seamlessly from anywhere.

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Compliance
Compliance as a Service

HIPAA, SOC 2, NIST, PCI DSS, CMMC — ongoing compliance management, risk assessments, and audit-ready documentation so you're never scrambling.

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Networking
Network Management

Managed firewalls, Wi-Fi infrastructure, SD-WAN, and 24/7 NOC monitoring — fast, reliable, and secure networking at every office location.

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AI & Automation
Secure AI as a Service

We identify where your team loses time, then build secure AI agents and automation workflows that give your business measurable hours back every week.

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Communications
VoIP & Business Communications

Cloud VoIP, Microsoft Teams voice, and unified communications — modernize your phone system, cut costs up to 50%, and keep your team connected everywhere.

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Strategy
IT Consulting & vCIO

CIO-level technology roadmaps, vendor management, and budget planning — without the $180K salary. Vendor-neutral. Strategy-first. Built around your goals.

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Infrastructure
Low Voltage & AV Integration

Structured cabling, conference room AV, digital signage, access control, and IP surveillance — designed, installed, and supported under one roof.

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On-Site
On-Site IT Support & Smart Hands

Certified engineers dispatched to your location for equipment installs, hands-on troubleshooting, office moves, and infrastructure upgrades — nationwide coverage.

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Data Center
Remote Hands & Data Center

Certified engineers positioned nationwide for remote hands, smart hands, and data center deployments — available 24/7 with rapid dispatch.

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Partners
Strategic Technology Partners

Partnerships with Microsoft, Cisco, SentinelOne, and more — we source the right technology at the right price and manage vendor relationships on your behalf.

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Does Your Firm Have the Documented Cybersecurity Program
the SEC, FINRA, and GLB Actually Require?

Most financial services firms have general IT security in place but haven't built the documented cybersecurity programs that regulators examine — written policies, annual risk assessment, documented incident response, Form ADV disclosure. Book a free financial services security assessment and find out where your firm stands against each applicable regulatory framework.

📋 Book Free Assessment 📞 866-710-0308
Why Financial Services Firms Choose Gradius for Cybersecurity

Regulatory Depth, BEC Expertise &
Examination-Ready Documentation

Financial services cybersecurity requires a provider who understands the regulatory frameworks — not just the technical controls. Gradius builds cybersecurity programs with SEC, FINRA, GLB, and NY DFS requirements as design inputs, and maintains examination-ready documentation so a regulatory inquiry doesn't become an emergency project.

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Financial Regulatory Expertise Across the Full Stack
Gradius understands the financial services regulatory landscape in operational terms — Reg S-P and the SEC's 2023 cybersecurity disclosure rules for registered advisors; FINRA Rule 4370 business continuity planning and FINRA cybersecurity guidance for broker-dealers; GLB Act Safeguards Rule for all financial institutions handling consumer data; NY DFS Part 500 for New York-licensed financial entities. We build programs that satisfy each applicable framework based on the firm's specific registrations and licenses — not a generic security program applied uniformly.
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BEC Defense Calibrated to Financial Services Attack Patterns
Financial services BEC attacks follow specific patterns that general BEC detection doesn't address: advisors whose client relationships involve regular wire activity are targeted specifically because the trust relationship makes fraudulent wire instructions more credible; broker-dealer wire transfers between accounts are monitored by attackers who compromise firm email; and mortgage and lending firms face fraudulent wire instructions at closing. We configure BEC detection with financial services transaction context — protected counterparty relationships, anticipated wire patterns, and display name spoofing detection tuned to the financial firm's specific client and vendor roster.
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Examination-Ready Documentation — Always Current, Not Pre-Exam Scramble
SEC and FINRA examinations increasingly focus on cybersecurity program documentation — written policies, annual risk assessments, incident response procedures, vendor management documentation, and evidence that controls are actually implemented rather than just described. The firms that struggle in examinations are those whose documentation was assembled in the weeks before the exam rather than maintained continuously. Gradius maintains examination-ready documentation as part of the ongoing cybersecurity program — so when an examination is announced, the documentation exists and reflects the current state of controls rather than aspirational ones.
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On-Site Coverage — NJ, NY & CT Financial Services Firms
Gradius is headquartered in Hackensack with U.S.-based engineers covering the full Tri-State area. Financial services firms with offices across NJ, NY & CT — advisory practices with satellite offices, broker-dealers with multiple branch locations, mortgage firms with regional operations — get consistent cybersecurity program coverage at every location under one flat-rate program. On-site assessments, hardware security reviews, and incident response reach all Tri-State locations efficiently.
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99.9%
Uptime SLA
Target
<15m
Avg Response
Time
24/7
NOC, SOC &
Help Desk
30–90
Days to
See Results
100%
SEC, FINRA & GLB Compliant — BEC Defended — NJ, NY & CT Financial Firms
Getting Started

From First Call to Full Coverage
in Days — Not Months

No disruption. No lengthy onboarding. A fast, smooth transition to a partner that has your back from day one.

01
Free Assessment
A Gradius security engineer conducts a financial services cybersecurity assessment — SEC Reg S-P and cybersecurity disclosure compliance posture, FINRA program documentation, GLB Safeguards implementation, NY DFS Part 500 applicability and controls, BEC vulnerability, and client data security — and gives the firm an honest picture of where it stands against each applicable framework. At no cost, no obligation.
02
Custom Proposal
A flat-rate financial services cybersecurity program designed around the firm's specific registrations, licenses, and regulatory obligations — SEC, FINRA, GLB, and NY DFS controls implemented as required; BEC defenses calibrated to financial services transaction patterns; and examination-ready documentation maintained continuously. Flat-rate per user.
03
Smooth Onboarding
Our engineers deploy, configure, and meet your team — typically live within 1–2 weeks without disrupting daily operations.
04
Ongoing Partnership
24/7 SOC monitoring of firm infrastructure and email; BEC defense continuously active; regulatory compliance documentation maintained; annual risk assessment completed; and quarterly reviews that keep the cybersecurity program current with evolving SEC, FINRA, and DFS regulatory expectations.
FAQ

Common Questions About
Financial Services Cybersecurity

The Gradius financial services cybersecurity program includes: SEC Reg S-P compliance — written policies, procedures, annual risk assessment, incident response documentation, and Form ADV disclosure support; FINRA cybersecurity program — required controls, Rule 4370 business continuity provisions, and electronic communications supervision documentation; GLB Act Safeguards Rule implementation — information security program, vendor management, employee training, and annual testing; NY DFS Part 500 controls for NY-licensed entities; BEC and wire fraud defense — DMARC/DKIM/SPF, advanced email security with financial services impersonation detection, MFA on all financial system access; client financial data protection — access controls, encryption, DLP; and breach notification coordination for SEC, FINRA, state laws, and cyber insurance. Flat-rate per user, all firm types covered.
The applicable regulations depend on your firm's registration and licensing. SEC-registered investment advisors are subject to Regulation S-P (safeguards for client records) and the SEC's 2023 cybersecurity rules (documented program, annual review, Form ADV disclosure, and incident reporting). FINRA-registered broker-dealers are subject to FINRA cybersecurity guidance and Rule 4370 (business continuity planning with technology provisions). All financial firms handling consumer financial information are subject to the GLB Act Safeguards Rule. Financial entities licensed by the New York Department of Financial Services are additionally subject to Part 500 (CISO designation, annual DFS certification, penetration testing, vulnerability scanning, and incident reporting). Mortgage companies, insurance firms, and other financial services businesses may have additional state-specific requirements. Gradius identifies all applicable frameworks based on the firm's specific registrations and licenses and builds the program around the complete applicable set.
Extremely serious — and specifically documented. The FBI's IC3 consistently identifies financial services as among the top BEC targets, with financial advisory and investment management among the specific subcategories most frequently attacked. The reason is the same logic that drives all targeted crime: financial services firms manage large wire transactions as a regular business activity, their client relationships involve established trust that makes fraudulent instructions more credible, and the combination of trusted relationship plus regular wire activity creates ideal BEC conditions. A single successful attack can redirect a client wire of six figures or more — and for an independent advisor or small firm, the combination of financial loss, regulatory reporting obligation, and client trust damage can be existential. Gradius implements the layered BEC defenses specifically designed for the financial services attack chain.
A cybersecurity incident at a financial services firm triggers a cascade of obligations with defined timelines. SEC-registered advisors must report material incidents under the 2023 cybersecurity disclosure rules — the materiality determination itself requires rapid assessment. FINRA requires incident reporting for registered broker-dealers. NY DFS Part 500 requires incident notification to DFS within 72 hours for covered entities. State data breach laws in NJ, NY, and CT are triggered when personal financial information is compromised. The cyber insurance carrier requires timely notice or risks coverage limitations. Client notification may be required depending on what data was affected. Managing all of these simultaneously while also managing the technical recovery requires both cybersecurity expertise and regulatory knowledge — Gradius provides both as part of the financial services cybersecurity program.
Core technical controls — EDR, email security with DMARC, MFA enforcement — are deployed within 1–2 weeks. Regulatory compliance documentation — written policies, initial risk assessment, incident response procedures — is developed over 30–60 days. For firms with pressing compliance timelines — an approaching SEC or FINRA examination, an annual ADV review period, a DFS certification deadline — Gradius prioritizes the regulatory documentation on an accelerated schedule while technical controls are deployed in parallel. Most financial services firms have a functionally compliant cybersecurity program within 60 days of engagement.
No long-term lock-ins. We offer month-to-month and annual agreements. Financial services firms stay with Gradius because the regulatory compliance documentation is maintained, BEC defenses are active, client data is protected, and the cybersecurity program is examination-ready without requiring a pre-exam scramble. We earn the renewal every month through performance.
Service Area

Financial Services Cybersecurity Across
NJ, NY & CT

Gradius IT Solutions serves businesses throughout the Tri-State area. Click your city to find dedicated Financial Services Cybersecurity resources for your area.

Free Financial Services Security Assessment — NJ, NY & CT

SEC Compliant. BEC Defended.
Financial Services Cybersecurity Done Right.

Gradius delivers cybersecurity for financial services firms across NJ, NY & CT — SEC Reg S-P and cybersecurity disclosure compliance, FINRA program documentation, GLB Safeguards, NY DFS Part 500, BEC wire fraud defense, client data security, and breach notification coordination. Flat-rate, examination-ready. Book your free financial services security assessment today.

📋 Book a Free Assessment 📞 866-710-0308
No contracts required
100% U.S.-based team
Results in 30–90 days
Hackensack, NJ based

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