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Case Study: Financial/Securities

The CIO Source Helps Securities Firm Bolster its Security


Brookville Capital Partners LLC is a fast-growing broker-dealer serving the New York area. They provide a full suite of financial services to their clients, including stock transactions and funding for startups and established companies.

Anthony F. Lodati joined Brookville as business manager in 2004, and worked his way up the corporate ladder to CEO in 2008. Well-versed in Information Technology from prior jobs, Lodati was additionally charged with bringing their entire I.T. infrastructure up to date.

"With today's fast pace of Technology, we needed to be brought up to date as quickly as possible, especially our security. In addition to mitigating the normal risks, we are highly regulated by the SEC and FINRA, and literally can't afford to have any issues - the fines they could impose are truly staggering."

The firm brought in The CIO Source for an initial security evaluation. "We wanted to be sure that we were as secure as possible within the budget that we had" recalls Anthony.

The security evaluation confirmed many areas in which the company was already secure, as well as pointed out some that were in need of improvement. Lodati remembers, "the report was clear, concise, and extremely practical, identifying the various vulnerabilities along with the associated risk factor and estimated cost to remediate. The CIO Source found issues that would not have otherwise been addressed - their work was right on".

Since the initial project, The CIO Source has served as Brookville's outsourced CIO and CTO. "The CIO Source always keeps their eye out for us and continues to find ways to improve our operation as well as our bottom line."

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Client Overview:
Year founded: 1999
Staff: 50+
Locations: New York, NY and Uniondale, NY

"While our tech did a good job on our security, it's always wise to get a 2nd opinion, so we hired The CIO Source to perform a cursory Security Audit. The results were quite impressive - for only about $2,500.00, we found out that we were facing potential compliance issues to the tune of $1.3 Million in fines (which we quickly resolved). Now, we sleep better at night knowing we are as safe as possible, and that our clients and pocketbook are protected as well."

Anthony F. Lodati

President and CEO

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