Dual Registrants

Hybrid RIAs A Dual Registrant is registered as both a broker-dealer and a Registered Investment Advisor (RIA). More and more, financial services firms are choosing this option, giving them the ability to run a fee and commission-based operation. Whether you are an existing broker-dealer, RIA, or just starting your journey to become a registered financial services firm, Oyster can help you start, run, grow and protect your firm. Oyster services include, but are not limited to:

Compliance Program Implementation
Code of Ethics creation and review
Conflicts Review
Information Barriers
Policies and Procedures creation and review
Registration and Licensing
Testing and Audits
Written Supervisory Procedures creation and review
Executive recruiting
Outsourced or Interim CCO, FINOP, Supervisory Principal, and/or support

The Oyster Difference

Oyster Consulting has a wealth of consultants who are experts in the areas of not only broker-dealers and investment advisors individually, but have significant experience in the dual registrant space. Oyster can help you start, grow, protect and run your dually registered firm.

FEATURED CONSULTANT

Dean Pelos,Director

With over 30 years of experience as a financial services professional, Dean has extensive experience helping firms maintain regulatory compliance, grow sales, and control costs.

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