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.

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, balance sheets, 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 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.

- Chief Compliance Officer, Investment Management Firm

Broker-Dealer
Registration & Licensing Support

Maintain alignment with SEC and FINRA regulations by allowing Red Oak to manage your registration and licensing needs, including:

FINRA and SEC Registration
State Registration
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 registration and licensing compliance for your firm. Our services include:

New RIA Registration
Register all Investment Advisory Representatives through IARD Notice Filings
State Filings Termination Filings
Disclosure of Regulatory or Civil Actions Schedule 13G, 13D, 13F Filings Solicitor Registration
Form ADV Part I and II review and revisions
Initial, Quarterly, and Annual Amendments ADV Filings Update Amendments
Annual Renewals
U-10 Filing for Exams Form PF
Branch Office 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.