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About Us

FIN Compliance | Lancer | Auditor | Trainer, provides compliance and training systems to the FIN Service Ecosystem, which includes SEC and state-registered investment advisors, financial planners, insurance agents, private funds, and broker-dealers.

We operate within a consortium of compliance, technology, and training consultants to assist investment firms in structuring, maintaining, and developing their regulatory review programs.

We've developed our compliance and training technology portals as add-ons for Chief Compliance Officers (CCOs), consultants, and staff to customize using Zapier, APIs, or single sign-on solutions.

With our flagship company, FIN Compliance, in operation since 2012, we have served over 200 firms in the financial services ecosystem, including SEC and state-registered investment advisors, financial planners, insurance agents, private funds, and broker-dealers.

200+

Firms Served

RIA, Consulting, Private Fund

10+

Network Partners

Consulting, Legal, Software, IT

12+

Years

Trusted Provider

Our History

FIN Compliance

Cory Roberson

Cory Roberson

Founder, CEO

David McNeal

David McNeal

Researcher, Administrator

Ivette Cruz-Lance

Ivette Cruz-Lance

Operations Manager

Jacklyn Hart

Jacklyn Hart

Compliance Manager

Advisory Team

Kerry Jordan, CFA

Kerry Jordan, CFA

Founder - Supercritical, LLC | Board Member

Scott Schwartz, CFP

Scott Schwartz, CFP

Founder - EntentVest, LLC | Venture Partner

Amilcarr Chavarria

Amilcarr Chavarria

FinTech | Blockchain Entrepreneur | Investor

Larry Shumbres

Larry Shumbres

FinTech | Entrepreneur | CEO

Partner Network

Jeffrey Rusin

Jeffrey Rusin

Advisor Marketing/Consulting

Advisor Tech Solutions

Cameo Roberson

Cameo Roberson

Business Coach/Workflows

Atlas Park Co

Dylan Bomstein

Dylan Bomstein

No-Code/UI/UIX Developer

Stein and Company, LLC

Stephanie Dannebaum

Stephanie Dannebaum

CRM Operations

Jeff Wilson

Jeff Wilson

Corporate Cybertraining/CE

Gary Nelson

Gary Nelson

RIA Compliance/Training

CorporateNerd

Justin Muscolino

Justin Muscolino

Training/E-Learning

Practus, LLP

Practus, LLP

FinServ Legal

Legal/AML/BSA Compliance

Legal/AML/BSA Compliance

Are you next ?

Are you next ?

Inquire to join our partner network

Business Continuity

Business Continuity

IT/Legal Vendors

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Our Impact

For nearly 20 years, our Founder Cory Roberson, remained committed to support entrepreneurs, students, and those who wish to build impactful ventures within their careers. As a businessman, investor, and social entrepreneur, and now Author, Cory’s spent over ten years in the investment management industry and in work with various social causes. Cory worked with (or spoken) at more than ten community service or educational programs serving youth and entrepreneurs in California, New Orleans, Brazil, China, S. Korea, Thailand, and S. Africa. In his book, From Student to Entrepreneur, Cory discusses his methods for turning ideas into a structure by thinking in terms of business and impact. At the intersection of vision and practical thinking, he shares his experiences in the investment industry; travel, challenges failure, starting business ideas, and inspirational people he's met along the way. His goal is for anyone to turn ideas into a structure that generates a return - not always measured in terms of capital.

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Mission

Serving the Investment Community to Make a Social Impact

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Vision

Our vision is to support the next generation of consultants and entrepreneurs who want more control over their time and career.

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Book a Vision Session with Cory.