Registration Management copy - Red Oak Compliance Solutions

Registration Management

Build better, more efficient licensing and registration management processes

Registration Management

Automate your registration and credentialing management process and reduce risk with Red Oak’s intelligent Registration Management suite.

How many different licenses and registrations are you currently managing for your firm’s registered representatives? When you’re managing licenses, multiple state registrations, continuing education, and more on a spreadsheet or via antiquated technology, it can be easy to overlook a filing deadline requirement. It can also come back to haunt your firm via fines and increased exam frequency.

Red Oak’s Registration Management software automates the licensing and registration management process with a centralized tracking system for representatives’ credentials and registration deadlines that is 100% books and records compliant.

Create custom, searchable fields to manage the most critical information for your firm and develop custom reports.
Configure forms and workflows that empower representatives to request amendments to their U4s
Support multiple broker-dealers within a firm with the same installation—no need for separate versions or setups.

Configurable automated reminders so you can reduce time spent on manual processes and avoid fines/delays from late or missing filings.

Review data at the rep level and track historical hierarchy with greater efficiency. Build or import hierarchies, create graphical representations, and maintain a historical record of supervisory structure and approval chains.

Use our single-step migration process to easily bring data from your current system into Red Oak.

Import specific fields or make mass updates with the click of a mouse instead of spending hours completing manual data updates.
Through our direct integration with FINRA, you can seamlessly upload and access real-time data without spending extra time manually migrating information between systems.
Our powerful search and reporting functions will simplify your review process with pre-designed reports and empower you to spot deficiencies more quickly.
100% 17(a)-4 books and records compliant.

Reduce the time and touches spent on managing registrations. Give yourself additional peace of mind regarding filing deadlines and processes. Let our Registration Management software power your credential management and automate your processes so you can focus on compliance efforts that give your firm a strategic advantage.

Are you ready for a better license and registration management process?

Learn more about additional software solutions from Red Oak.

Testimonials

Red Oak Compliance is quick and attentive to our needs and they have proven themselves to be in command of the nuances of RIA and securities regulation compliance for our fund. It’s the one area of my operation that I outsource and I have complete faith in their abilities.

As a representative with over 25 years of experience in the industry I considered drafting and filing my own registration documents. The smartest decision I made for my new RIA was to outsource that responsibility to Red Oak Compliance Solutions. They got my approval quickly and efficiently—even working after hours—saving me a lot of time which ultimately saved me money. Their work was superior—they didn’t just meet my expectations they exceeded them. I would highly recommend them to anyone who needs their services.

We are very pleased with our decision to use AdMaster. With AdMaster our Compliance team does not need to involve our IT team for tasks such as: creating spreadsheets linking to the bulk export of documents, administration of users, customizing data entry fields and drop down fields. I highly recommend AdMaster given my experience and their high quality of service.

We are very happy with the compliance work Red Oak provides us. We outsource as much as possible to Red Oak to keep us focused on managing money and the business. Always accessible and current of compliance topics an RIA and hedge fund faces on recurring basis.

I love working with your team. They are always so responsive, helpful and insightful and make my experience with AdMaster first class. Please share this email with your organization and others. Thank you.

Red Oak is highly responsive and the level of understanding and interpretation of Sierra’s needs is demonstrated time and time again. The end product, through our collaborative efforts, is always superb. I would recommend Red Oak for all your compliance needs!!