Registration
Oyster Consulting’s multi-disciplined professionals provide the detailed knowledge and commitment you need to facilitate your firm’s registration.
RIA Registration
Our consultants provide end-to-end service for RIA registration. We collaborate with your leadership to design a Policies and Procedures Manual that fits with your firm’s capabilities, leverages technology and streamlines processes. We will draft your Form ADV, helping you save time and avoid common mistakes. We also work with you to create a Code of Ethics that captures your firm’s culture while achieving compliance best practices.
Broker-Dealer Registration
We engage a full suite of professionals to usher you and your team through the FINRA New Member Application. At Oyster, we understand how to design practical and reasonable regulatory compliance programs, and can help draft your Business Plan. Don’t go it alone – our industry NMA experts turn one of your firm’s toughest challenges into a smooth process.
Registration Services
Our Process
Step 01
Discover
We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.
Step 02
Plan
We customize your project by creating a scope and timeline to deliver the best experience for your team.
Step 03
Implement
Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.
Step 04
Deliver
Whether your need is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations.