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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.

    • Manage and track licenses, registrations, deadlines, expirations, continuing education credits, organizational hierarchies, and more.
    • registration and licensing landing page

      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.

    • Choose to use our out-of-the-box reminders or customize your own to set dates and create notifications based on specific fields and roles.
    • Create date-based custom fields to send personalized and customized notifications to employees depending on their roles and responsibilities.

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.

  • registration and licensing hierarchies
    • Quickly look back at the data and get a snapshot of the organizational hierarchy, supervisory structure, and decision-makers for each change/update per registered representative.
    • Complete bulk updates to reassign supervisors when organizational changes are made, rather than completing hundreds or thousands of manual changes.

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?

Contact us today.

Learn more about additional software solutions from Red Oak.


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