Third-Party Vendors

Valuable information to help with your business.

The following vendors have been recommended by Red Oak clients who have used them. Red Oak does not receive any compensation and is not affiliated with any of them. If you use one, please let us know your opinion.

Interactive Brokers (IB) is a low-cost provider of trade execution and clearing services for individuals, advisers, prop trading groups, brokers, and hedge funds. IB’s premier technology provides direct access to stocks, options, futures, forex, bonds, and funds on over 100 markets worldwide from a single IB Universal account. Click here to go to Interactive Brokers.

Intl FCStone Financial Inc. offers custody and clearing solutions for RIAs through Pershing LLC. Read their Investment Professional’s Guide to creating a client referral strategy. Click here to learn more about their execution, custody and clearing solutions.

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Need to prepare for a investment adviser or broker-dealer exam? Solomon Exam Prep offers a discount to Red Oak’s clients and prospective clients. Click here to go the discounted pricing page.

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The Insurance Advertising Compliance Association is a not-for-profit organization whose fundamental purpose is to promote the education of insurance marketing, legal, and compliance professionals, as well as to create a beneficial impact on insurance advertising regulation through active participation from these individuals and their industry firms. Click here to go to IadCA’s website.

I love working with your team. They are always so responsive, helpful and insightful and make my experience with AdMaster first class. Please share this email with your organization and others. Thank you.

Derrick Vermillion
Chief Compliance Officer
Impact Partnership

I have been working with Red Oak’s AdMaster for almost a year now. I chose to use AdMaster because it is, in my mind, a superior product compared to their “mainstream” competitors. They were able to customize AdMaster to fit my BD and our structure. The best part about Red Oak is their customer service. It is truly unbelievable. There is nothing like emailing their support staff and getting a response immediately with a solution! Rather than waiting days for a return call/email. I know I can pick up the phone and call Cathy or Steve at any time. The unlimited document storage is great too!

Mike Bohnert
Walton International

Red Oak Compliance is quick and attentive to our needs and they have proven themselves to be in command of the nuances of RIA and securities regulation compliance for our fund. It’s the one area of my operation that I outsource and I have complete faith in their abilities.

Matt Weber
NV Capital Advisors LLC

The Red Oak staff was prompt and professional in responding to designated FINRA audit considerations. Their evaluation and preparation of materials for submittal to FINRA was timely and persuasive.

Greg Eden
Fairfax Securities Corporation

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.

Susan O’Reilly
Konnect Wealth and Health, LLC

We are very pleased with our decision to use AdMaster. With AdMaster our Compliance team does not need to involve our IT team for tasks such as: creating spreadsheets linking to the bulk export of documents, administration of users, customizing data entry fields and drop down fields. I highly recommend AdMaster given my experience and their high quality of service.

Lauri Friel
Director of Compliance
CNL Securities Corp.

You guys rock!

Emanuel Romero
Chief Compliance Officer
Futurity First Insurance Group

AdMaster really makes it easy to share, edit, update, and store documents for Compliance purposes and it’s made my job much easier to manage everyone.

Monica L. Young
Compliance & Suitability Department
Partners Advantage

Third-Party Vendors

Valuable information to help with your business.

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