Industries · Financial Services
Media Vaulting for Broker-Dealers, RIAs and Financial Firms
This sector carries the most prescriptive record-keeping obligations of any we serve, and examiners ask specific questions about where records live and who touched them.
Bring your retention schedule. We will tell you what it actually costs to meet it.
Air-gapped
No network connection. Ransomware cannot reach it.
70°F / 50%
Climate held to ±2° and ±5% RH
9R
Highest UL vault rating available
40+
Years operating since 1983
Why it matters
The pressure this sector is actually under
Books-and-records rules govern not only what is kept but how it is preserved and how quickly it can be produced. An examiner asking where a particular record was held in a particular month is asking a custody question, and "we think it was in the office" is not an answer. Firms in Brickell and Boca Raton carry this load most heavily.
What firms in this sector hand us
- Backup tape and drive sets
- Archived communications media
- Trade and account documentation
- Retired systems holding client data
Compliance
Frameworks that usually apply
FINRA & SEC Books and Records
This is the most prescriptive record-keeping regime we encounter. Rules address not only what must be kept, but how it must be preserved and how quickly it must be produced. Examiners ask custody questions, and custody questions need custody answers.
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Sarbanes-Oxley (SOX)
SOX is a controls regime. Auditors test whether a control operated, not whether it was described. A custody record showing that every rotation happened on schedule is the kind of evidence that survives testing.
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These pages describe what physical custody contributes. They are general background, not legal advice, and they do not state retention periods.
Services this sector uses most
LTO Tape Vaulting
Tape is genuinely offline once it leaves the drive. Kept at stable temperature, with every barcode reconciled at intake.
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Hard Drive & SSD Storage
Drives pulled from a retired array end up in an office cabinet. Here they are logged by serial and stored sealed.
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Server & Rack Component Storage
A decommissioned server still holds data. Shelved, logged by asset tag, released only to the people you name.
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Physical Records Storage
Boxes logged against your own index and shelved rather than stacked. Paper is the medium water ruins first.
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Retention
The retention pressure in this sector
Financial services carries the most prescriptive retention expectations on this list, and the detail that catches people is not the duration but the form — several frameworks care about whether a record can be altered, and about how quickly it can be produced. That pushes firms toward media and processes chosen for auditability rather than convenience, and it means an arrangement that is merely secure may still not be adequate.
In practice
What an engagement looks like
Engagements are usually driven by an examination cycle or by a specific requirement a compliance officer is trying to satisfy, so the conversation starts with what evidence they need to be able to show. We are precise about our part: we provide documented physical custody, a chain of custody, environmental control and named authorized access. We do not certify a firm's compliance with any framework, and any provider telling you their vault makes you compliant is overselling.
Questions from financial services
- Do you provide custody documentation for examiners?
- Yes. Every movement is timestamped and scanned, and we can produce the custody history for any item we hold.
- Does vaulting satisfy our books-and-records obligation?
- It provides the physical custody and evidence layer. Whether your overall program satisfies a specific rule is a question for your compliance counsel — we do not opine on it.
- How fast can records be produced?
- Scheduled retrieval, plus 24/7 emergency retrieval for contracted clients.
Other sectors we serve
See the vault before you decide.
Tours are private and by appointment. You will see the vault door, the man-trap entry, and the box sizes in person. No account relationship is required to visit.