registration management

Software

Efficient Registration and Licensing Management

Move away from outdated spreadsheets and legacy technology—manage your registrations and licensing in a centralized system built for compliance and efficiency.

100% BOOKS AND RECORDS COMPLIANT

>99.9% UPTIME

<1 HOUR AVERAGE HELP TICKET RESOLUTION

4-8 WEEK AVERAGE IMPLEMENTATION

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 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 1,800+ Firms Globally

Partner to Over Half of the
Top 20 Asset Managers

84 NPS Score—

Setting the Standard for Client Satisfaction

Built by Compliance Experts

Designed by compliance professionals for compliance professionals. Red Oak ensures your organization stays 100% books and records compliant, with features like audit trails, document stamping, and data ownership—so you're always in control. Your data is yours—secure and accessible whenever you need it, without restrictions or hidden fees.

Rapid Implementation

Go live in as little as 4-8 weeks. Our Implementation Team will equip your organization to manage and edit workflows autonomously, cutting down on long-term costs and reducing implementation headaches.

Industry-Leading Client Support

Get answers fast with Support that, on average, resolves help tickets in under an hour. We have some of the industry’s lowest churn rates and a high NPS score.

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
And More

Seamless FINRA Integration for Registration Management

Integrated with the new FINRA API and to minimize disruptions as FINRA sunsets their Web EFT process. Manage U4s and U5s with ease—reducing manual 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.

Advertising Review Software for Financial Services Compliance Industry

Leadspace

Streamline Compliance. Save Time. Stay Audit-Ready.

Red Oak’s configurable advertising review software helps you reduce regulatory burden, enhance team collaboration, and speed up approvals.

Proof Point Band

Benefits Band

Why Choose Red Oak for Advertising Review?

The Most Configurable Workflow Engine

With our easy-to-use, self-service interface, you can build, modify, and adapt workflows—no technical expertise required. Plus, we never limit the number of workflows you can create.

Collaboration Made Easy

Streamline teamwork across compliance, marketing, and other departments. With user-defined questions, email notifications, and parallel reviews, your team can achieve 35% faster approvals with 70% fewer touchpoints.

Built by Compliance Experts

Rapid Implementation

Industry-Leading Client Support

Get answers fast with Support that, on average, resolves help tickets in under an hour. We have some of the industry’s lowest churn rates and a high NPS score.

Proof Point Band 2

Add-Ons Band

Expand Your Compliance Capabilities

Disclosure Manager: Centralize and effectively manage regulatory disclosures in a single library for faster approvals, ensuring consistent and approved disclosures are used across your organization.

Disclosure Intelligence: Create deterministic rules to identify when and where a disclosure should be in documents, helping to streamline compliance reviews and create greater efficiency.

AI Review: Increase efficiency and time to market with Red Oak’s AI Review module paired with our robust workflow engine, ensuring you’re not sacrificing compliance functionality for the sake of AI.

Features Band

Features for Efficient Advertising and Marketing Review

Red Oak offers the most comprehensive and configurable features to ensure compliance and improve efficiency:

Customizable Workflows
Robust Rules Engine
User-Defined Questions and Answers
Parallel Reviews
PDF, Video, and Audio Annotations
Full Audit Trail and Document History
Books and Records Compliant
Encrypted Data Storage
And More

Download the Full Feature Summary

Integrations Band

Seamless Integrations for Maximum Efficiency

Connect Red Oak with Seismic, Workfront, and other key marketing tools your team already uses. Our FINRA AREF integration enables bi-directional communication, saving up to 30 minutes per filing. Simplify user management with single-location user setup. Discover all integration possibilities.

Conclusion Band

Start Streamlining Your Compliance Today

See how Red Oak’s Advertising Review solution can transform your workflow. Talk to an expert and start your journey to a faster, more efficient compliance process.