registration management
Software
Efficient Licensing and Registration Management
Move away from outdated spreadsheets and technology—manage your registrations and licensing in a centralized system built for compliance and efficiency.
24/7 Support
<1 Hour Average Help
Ticket Resolution
>99.9% Uptime
Continuous Enhancements with Zero Downtime
Why Choose Red Oak for Registration Management?
Centralized Tracking for Compliance
Manage licenses, registrations, deadlines, expirations, continuing education, and hierarchies in one system. Access real-time data from a single source of truth.
Most Configurable Software
Adapt the system to your needs, not the other way around. Customize workflows, forms, and reports—control how you track and manage critical data.
Multi-Broker-Dealer Support
Handle multiple broker-dealers or RIAs within a single installation—no need for multiple setups. Achieve operational efficiency and reduce costs.
One-Click Data Migration
Simplify your transition with direct integration to FINRA. Migrate data effortlessly without manual entry, reducing errors and saving time.
Built for Compliance
Maintain 100% books and records compliance. Bulk update organizational changes, store multiple historical hierarchies, and manage U4/U5s for effortless regulatory reporting.
Trusted by 2,000+
Firms Globally
Partner to Over Half of
the Top 20 Asset Managers
84 NPS Score—Setting the Standard
for Client Satisfaction
Trusted by 2,000+ Firms Globally
Partner to Over Half of the Top 20 Asset Managers
84 NPS Score—Setting the Standard for Client Satisfaction
Registration Management Features You Can Rely On
Red Oak provides comprehensive, configurable features for all your registration and licensing needs:
- Centralized Tracking System
- Affiliated Firm Management
- Custom Reporting Tools
- Organization Hierarchies
- Automated Renewal Reminders
- Custom Fields
- And More
Seamless FINRA Integration for Registration Management
Integrate with FINRA to manage U4s and U5s, reducing manuals tasks and improving accuracy.
Simplify Your Registration and Licensing Process
Experience the benefits of streamlined registration management with a system tailored to your needs. Talk to an expert today.
Our Industry-Leading Reputation
