We have an online portal of compliance resources to use with your existing technology solutions.
Deliver documents to clients, staff, prospects, and vendors via a smartphone. Desktop includes audit logs to comply with documentation requirements SEC/NASAA* Model Rule 204-2, 204-3, 204A-1, and Rule 206(4)-7 (and similar state rules). Learn More
Our collaborative network of bundled solutions from third-party vendors
Automate tasks from our calendar to more than 3000 app on Zapier or customize our app to integrate with other tech solutions. View our FIN Compliance to RedTail CRM demo on Zapier.
Our Portal As A Service (PaaS) program builds custom portals of our Compliance and Disclosure Desktop app for our FIN Lancer Financial networks, fund service providers and compliance consulting firms.
"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."
"I can't say enough good things about Cory. He's done a great job fixing and maintaining our compliance issues. I highly recommend Cory!"
"Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks."
"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."
"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."