Training Services
for Broker-Dealers and Investment Advisors
Stay Ahead of Regulatory Risk with Expert-Led Training
Navigating the complexities of financial services compliance requires a well-trained team equipped to protect your firm. At Red Oak, we bring deep expertise to create tailored training solutions that reduce regulatory exposure, avoid costly fines, and safeguard your firm’s reputation.
15+ Years of Proven Success in Compliance Consulting
Dedicated Compliance Consultant Assigned to Every Client
120+ Years of Combined Industry Expertise
Trusted by Over 1,000 Firms
Why Choose Red Oak for Training Services?
Proven Compliance Expertise
With over 120 years of combined experience in SEC and FINRA compliance, Red Oak’s consultants deliver industry-leading knowledge. Your team will learn the latest best practices, technology, and regulations to stay ahead in the compliance landscape.
Custom Services for Your Firm’s Needs
We design training programs specifically for broker-dealer and investment adviser firms. By addressing your firm's challenges and closing compliance gaps, we ensure your team operates confidently and effectively.
Flexible, Cost-Effective Plans
Whether your team needs ongoing training or on-demand guidance, our scalable solutions fit your budget and operational needs. Empower your staff with targeted training to reduce regulatory risk.
Our firm has highly valued Red Oak’s guidance on compliance issues for our Broker-Dealer and Registered Investment Advisor businesses for years.
-Matthew Dorn, President, Financial Advisor, Dorn & Co., Inc. Wealth Management
Training Services for Broker-Dealers
Red Oak’s broker-dealer training services cover critical areas, including:
- Advertising and Website Compliance Senior Investors
- Business Continuity Anti-Money Laundering
- Regulation S-P (Privacy Policies) Branch Office Audit Reviews Books and Records
- Licensing and Registration Sales Practices Violations
- Investment Product Features and Best Practices
- New Regulations
- New Technology
Training Services for Investment Advisers
Equip your investment adviser team with essential training in areas such as:
- Advertising and Website Compliance Senior Investors
- Business Continuity Anti-Money Laundering
- Regulation S-P (Privacy Policies) Books and Records
- Licensing and Registration
- Investment Product Features and Best Practices Sales Practices Violations
- Best Execution
- New Regulations
- Annual Compliance Meeting
Let Red Oak Strengthen Your Compliance Team
Proactive, expert training is the cornerstone of a strong compliance program. Trust Red Oak to equip your team with the knowledge, tools, and strategies needed to excel in today’s regulatory environment.
Our Industry-Leading Reputation
