Red Oak can address your registration needs and concerns. By working directly with your firm’s chief compliance officer, we will identify registration challenges for your firm. We will then build and implement practical solutions that are effective and efficient to meet your regulatory responsibilities. We can relieve you of the burden of having to find competent licensing and registration personnel by performing all of your licensing and registration functions; or you can purchase services as your need arises.
At Red Oak, we know what to expect from FINRA, so we can get it right the first time.
Our Broker/Dealer Registrations Services include the following:
- FINRA and SEC Registration
- State Registration
- Continuing Education Requirements
- Form U-4 and U-5 filing and amendments
- Form BD and BR filing and amendments
- Insurance Appointments