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Compliance, Sales

& Integration Systems

Helping firms with compliance, sales, and technology through a network of partners

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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/Integration Systems

We offer compliance, sales partnerships, and tech integration portals to enhance firm communications, stakeholder procedures, and to provide consolidation points with third party applications

Compliance Portals

For Desktop tools/integrations
Compliance Portals

Disclosure Portals

For Desktop to Mobile integrations
Disclosure Portals

Integrations Portals

For consolidation with third party applications
Integrations Portals

Disclosure/Mobile App

Mobile Dashboard

Mobile Dashboard

Features

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White Labeling

Tailor with your brand identity and unique requirements.

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Access Rights

Easily manage admin and user permissions.

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Integrations

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

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Compliance & Audit

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

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Templates

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

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Dashboards for Admin, Staff Clients

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

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File sharing and Document requests

Share files with other users or request information securely.

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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)

Technology and Workflows

For Investment Advisors, Funds, FIN Service Providers, and Consulting Teams

Compliance + unified applications portal for firm and staff to save time when using multiple applications

For Fractional Executive/Consulting Teams

Cloud + unified applications portal for fractional CCOs, COOs, CMOs, CFOs, CROs and consultants to manage client applications

For Administration Teams

Cloud + unified applications for managing back-office duties, filing, tasks, and other client-based projects

Testimonials

Scott Schwartz

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

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

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.”
Nathan Cherry

Nathan Cherry

Principal

Fidelis Financial (NC-Registered Firm)

"Thank you, FIN Compliance, for your invaluable assistance! Your service has been instrumental in navigating the complexities of compliance as we embark on this journey. As a newcomer to this realm, your support has made the process not only manageable but surprisingly straightforward. I am truly grateful for your expertise and dedication."
Howard Erman

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

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."

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