Broker Dealer Services

Everything from registration to on-going compliance support.

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.

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 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.

Taylor Roncancio
Roncancio Wealth Management

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!

Steve Repak
Repak Financial Services

Awesome!! Thanks You Guys So Much for setting up my RIA!!

Mark Campbell
Saratoga Realty Investors LLC

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!!

Jim McGuire
Sierra Investment Partners, Inc.

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.

Neal Falkenberry
Autumn Wind Asset Management, LLC

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

Broker Dealer Services

Everything from registration to on-going compliance support.

Broker/Dealer Services Overview

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

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