Dual Registrants

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
• DOL Fiduciary Rule Assessments and Compliance

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.