Automate the registration and licensing management process while reducing regulatory risk to your firm.

Helping firms more effectively manage credentials and meet registration deadlines.

Red Oak’s Registration and Licensing Management software automates and streamlines the management of your firm’s licensing and registration processes to minimize risk, reduce costs, and increase efficiencies in your compliance processes.

Effectively manage your representatives’ credentials and ensure compliance with registration deadlines. Our intelligent software manages and tracks licenses, registrations, deadlines, expirations, continuing education credits, legacy organizational hierarchies, and more. It deploys automated alerts to notify users of upcoming deadlines, connects directly to FINRA for CRD filings, and is 100% 17(a)-4 books and records compliant.



Stop manually tracking licensing and registration data on spreadsheets and across multiple systems. Automate the process and maintain all information in one place, including deadlines, submission records, and historical hierarchies. Review and report with specificity – reports can be pulled organizationally or at the rep level. Our configurable workflows and forms empower representatives to request amendments to their U4s for changes to their personal information, professional designations, and more. Our intelligent software supports multiple broker-dealers within a firm with the same installation – no need for separate software versions, licenses, or setups.




Never let a deadline pass you by! Workflows include automated alerts for upcoming CE and state licensing renewal deadlines, with configurable messages so your team can handle their requirements more efficiently and with fewer touches.


Registration Management is an enhancement to Red Oak Compliance’s flagship SaaS advertising compliance review software