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Compliance

& Training Systems

Providing Technology, Training, and Consulting services for the FINServ Community

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Who We Serve

Independent FinServ Consultants

Partner Programs, Software, Trainings

Investment Advisors (RIAs), Brokerages

Compliance, Training, Partner Programs

Compliance Consultant firms

Partners, Software, Trainings

Independent Insurance Agents

Partners, Software, Trainings

Auditors/Accountants

Partner Programs, Software (PCAOB, AICPA)

SMBs, FinTechs, Private Funds, Institutions

Partners, Software, Trainings

Compliance/Training Systems

We offer training systems for communications to multiple partners, creation of standard operating procedures, team collaboration tools, and training modules to build and scale firm growth initiatives.

Compliance Manager

Training Manager

Enterprise Manager

Training Mobile App

Staff Portals

Public Portals

Features

White Labeling

Tailor with your brand identity and unique requirements.

Access Rights

Easily manage admin and user permissions.

Integrations

Integrate the app with your existing tools via API/SSO.

Compliance & Audit

Customizable workflows for training, disclosures, and audit reporting for all stakeholders.

Templates

Access over 100 ready-to-use templates or upload/edit your own forms for unmatched flexibility.

Dashboards for Admin, Staff Clients

Seamlessly navigate the app through an intuitive interface accessible to multiple team members.

File sharing and Document requests

Share files with other users or request information securely.

IT/Security consulting

Including IT/cyber consulting with our partners.

Our Partner Programs

Consulting Partners

Referrals

Rev-Sharing

Software Partners

White labeling

Licensing

Third Party Partners

API Integrations

Single Sign On (SSO)

Compliance/Training Solutions

For Consulting Teams

Collaborate with firm clients, staff, and customers for compliance deliverables and calendar events

For Auditing Teams

Delegate ongoing reporting, documentation, and PCAOB, AICPA, SEC Blue sky, or ADV-E custody filing requirements

For Administration Teams

Manage back office duties, filing, and other reporting obligations

SEC Marketing Rule

SEC Firms should adhere to provisions as set forth with New Marketing Rule 206(4) -1 in cases where the “adviser has participated in the creation or dissemination of an advertisement, or where an adviser has authorized a communication, the communication would be a communication of the adviser.” (Ref. SEC Marketing Rules)

State firms please confirm if marketing guidelines are aligned with the SEC marketing rule. Under Rule 206(4)-3 and similar state rules, we will not directly or indirectly provide any matchmaking, paid promotion, or find an advisor services through our website. An advisor chooses to direct communications and post marketing materials on its own accord.

Testimonials

Scott Schwartz

CFP ®, CIMA ®

Alexander Beard, USA, LLC

"I cannnot say enough good things about Cory. He has done a great job fixing and maintaining our compliance issues. I highly recommend Cory!"

K. Daniels

Client Relationship Manager

Summit Wealth Partners, LLC

"Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks."

David Crews

Crews Capital Managemnt

Texas Registered Firm

“Thanks, I had a last second request for an encrypted email and your website worked great - saved money and a lot of time while serving client’s needs.”

Art Stites

Florida Registered Firm (inactive)

"For the last eight years, our firm has used the services of Cory Roberson FIN Compliance. During this time, we have watched his business grow to meet the ever-increasing needs of the registered investment advisor community. Today, as then, we received the same prompt and courteous service when needed. In our business, quality and prompt service counts high on the list of the things that matter the most to us. Their monthly News & Update Calendar is a frequent resource and reminder of important upcoming events and compliance deadlines."

Howard Erman

Earman Retirement Advisory

SEC Registered Firm (inactive)

"Almost 10 years and counting…., Cory served as our compliance consultant to assist us with our RIA mock audits and annual reviews as an independent investment advisor and affiliated registered representative. On occasion, he would visit our office or provide virtual reviews to address any gaps from our FINRA broker-dealer oversight and SEC/State provisions for investment advisors. We are very pleased with Cory’s support and work with our firm."

Allan Boomer

Managing Partner

Momentum Advisors

"Cory is an outstanding professional. As a consultant to my growing investment practice, he has added a tremendous amount of value. LinkedIN has 7"top attribute" boxes,but limits your selection to 3. I would definitely select all 7 if given the opportunity! He works hard, knows his stuff, and provides great value. More than anything, I appreciate that Cory is an individual with strong moral values and principals, which is evidenced by his extra-curricular activities and volunteerism."

Updates

NASAA Continuing Education Requirements (CE) for investment advisor representatives are adopted in 16 jurisdictions (as of 08/01/2023).

Arkansas (1/1/2023); Colorado (1/1/2024); Florida (1/1/2024); Kentucky (1/1/2023); Maryland (1/1/2022 effective date); Michigan (1/1/2023); Mississippi (1/1/2022); Nevada (1/1/2024); North Dakota (1/1/2024); Oklahoma (1/1/2023); Oregon (1/1/2023); South Carolina (1/1/2023); Tennessee (1/1/24); Vermont (1/1/2022); Washington, D.C. (1/1/2023); Wisconsin (1/1/2023)

Want more News/Updates?

Let’s schedule a time to chat about your compliance, audit, and reporting needs