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.
Need compliance training from an industry leader? Want to connect with other compliance professionals? The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests. Click here to go to NSCP’s website.
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.
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.
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.
Testimonials
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.
I have had the good fortune to have selected Red Oak Compliance as my compliance firm from the very start. They did everything from the advisory agreements to getting my firm registered. They will work with you from start to finish and provide excellent service. If you want things done right, go with Red Oak.
Randy Randall, Stephen Pope and Cathy Vasilev with Red Oak Compliance, thank you for your expertise and professionalism! It was a great pleasure working with you and I would not have been able to complete my book without your guidance, assistance and recommendations!
Awesome!! Thanks You Guys So Much for setting up my RIA!!
Red Oak is highly responsive and the level of understanding and interpretation of Sierra’s needs is demonstrated time and time again. The end product, through our collaborative efforts, is always superb. I would recommend Red Oak for all your compliance needs!!
We are very happy with the compliance work Red Oak provides us. We outsource as much as possible to Red Oak to keep us focused on managing money and the business. Always accessible and current of compliance topics an RIA and hedge fund faces on recurring basis.
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!
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.
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.
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.