Registration Services
for Broker-Dealers and
Investment Advisors
Your Registration Process with Trusted Experts
Managing registration and licensing is complex—let Red Oak take on the regulatory burden so you can focus on growth and core compliance needs. Our team of seasoned consultants will develop a tailored plan to efficiently handle your registration requirements, giving you peace of mind and allowing you to allocate resources where they’re needed most.
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 Registration Services?
Decades of Regulatory Expertise
With decades of experience in SEC and FINRA compliance, Red Oak’s consultants are highly skilled at managing registration and licensing for broker-dealers and investment advisers. Entrust your compliance requirements to proven experts, freeing your internal resources from time-consuming tasks.
Customized Registration Solutions
Working closely with your managing principal or chief compliance officer, we assess your firm’s specific registration challenges and design a plan that ensures smooth, compliant processes. Whether handling fingerprint cards or ongoing licensing requirements, our team's tailored approach provides precision and flexibility.
Cost-Effective, Scalable Support
Avoid the expense of full-time compliance hires while maintaining top-tier expertise. Red Oak’s flexible consulting model scales to your needs, providing high-quality support that optimizes your operational budget without compromising on compliance standards.
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. 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.
- Chief Compliance Officer, Investment Management Firm
Broker-Dealer
Registration & Licensing Support
Maintain alignment with FINRA regulations by allowing Red Oak to manage your registration and licensing needs, including:
- FINRA Registration
- State Registration
- Regulatory Continuing Education Requirements
- Form U-4 and U-5 filing and amendments
- Form BD and BR filing and amendments
- Insurance Appointments
Investment Adviser Registration & Licensing Support
Let Red Oak’s consultants handle the details of SEC and State registration and licensing compliance for your firm. Our services include:
- New RIA Registration
- Register Investment Advisory Representatives
- State Filings
- Disclosures
- Form ADV Part I and 2A review and revisions
- Initial, Quarterly, and Annual Amendments ADV Filings Update Amendments
- Annual Renewals
- U-10 Filing
- Schedule 13G, 13D, 13F Filings
- Endorser Registration
- Form PF
- Exempt Reporting Adviser Filings
I can’t imagine trying to do this any other way. I am so glad I went with you.
— Christine Blair, King Ridge Asset Management
Let Red Oak Manage Your Registration Compliance
Trust Red Oak’s experienced consultants to manage your firm’s registration and licensing, allowing you to focus on your core business goals. With Red Oak, reduce regulatory risks and ensure seamless, compliant operations.
Our Industry-Leading Reputation
