Broker/Dealer Services Overview

Red Oak is a full-service compliance consulting firm offering a wide range of registration, compliance, and outsourcing services to help brokers/dealers handle their ever-increasing compliance obligations. Red Oak has the industry experience, broker/dealer compliance expertise, and knowledge of the regulatory requirements necessary to fulfill your compliance needs.

We don’t sell our clients a product – we deliver solutions.

Red Oak provides a wide range of services from initial broker/dealer registration to on- going compliance support for existing brokers/dealers. For new broker/dealer applicants, Red Oak offers customized membership and registration services to get your new firm up and running. Our compliance professionals can explain the registration process and requirements, assist in structuring your compliance programs, prepare your new member registration, and even act as your Chief Compliance Officer.

For existing broker-dealers, we offer you the option of outsourcing your compliance program or purchasing à la carte services as needed. For more information on these options, please click on the links below.

• Compliance Services
• Advertising Review Services
• Advertising Review Software – Red Oak Compliance Software
• Registration Services
• New Member Registration and Continuing Member Application – Rule 1013 & 1017
• Training

Pricing

We strive to be extremely competitive with our pricing. We will provide you with a customized quote for our services after an initial analysis has been performed. Please contact us for a proposal tailored to meet the needs of your firm.