Completing FINRA User Certification Process in Minutes

By Cory Roberson, Principal of FIN Compliance, Lancer, Ventures

April 20, 2020.  Super Account Administrators (SAAs) with more than one user and/or administrator account must login to certify that individuals have the right of access to FINRA systems to perform related filing responsibilities (e.g. ADV Part 1, 2, 3, U4, U5, ADV-W filings).

Certification period is - April 20 - July 20, 2020

(example: User Certification process)

Compliance Management Resources 

Login at FINCompliance.io to view
Guidelines: SEC/State (fees, filings, etc.) or CRD/IARD (using registration system)

FIN Compliance Products and Services 

RIA Registration Services:  New/existing firms.

RIA Compliance Consulting:  Ongoing/annual services.

Compliance Management System: Compliance portal for resources, forms, and checklists.

Business Management System: Business portal for file sharing, e-contracts, and more. 

Advisor Continuity/Solicitor Support:  RIA Succession/continuity/solicitor services.

Business/Referral Network: Inquire about advertising/consulting projects. 

Our Approach

Compliance Management - We work with companies who are seeking to manage their compliance obligations - serving more than 175+ firms with compliance services and a system of SEC and state regulatory resources located on one site.

Business Management - We provide firms with task-management processes and a business directory to connect with other firms for continuity, succession planning, partnerships, and deal flow.  Also, we have a small network of referral partners for practice management, operations workflows, accounting, and website design.

Needs Analysis Workflow - We work with firms in determining their compliance management priorities.  During/after a need’s analysis, we provide firms with compliance/business service options to address those needs and will provide firms with sample workflows for task delegation purposes.

Audit Preparation - We help firms in addressing compliance deficiencies while acting as an intermediary for resolving issues between (you) the advisor and regulators/examiners. We can also assist firms in audit prep measures.

Regulatory Changes - We research regulatory updates from state, SEC, and/or FINRA jurisdictions. We’re here to help as some rules/regulations may be amended over time.

About FIN Compliance 

FIN Compliance  (FinCompliance.io) is a consortium of compliance, consulting, and business management solutions designed to help boutique investment firms to structure, maintain, and develop their internal regulatory review programs.  

Our product line consists of:  RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management system, B-D Review, a Hybrid-management system (est. in 2020)*, and FIN Lancer, a Business/Task Management system. 

Impact/Missions

FIN Ventures focuses on business strategy consulting for impact-based projects (FINVentures.io).  

FIN Missions (FINmissions.com) provides business/vision support group sessions for other entrepreneurs and youth mentoring.  In addition, Cory has volunteered for more than fifteen youth programs in locations such as like S. Korea, China, S. Africa, Thailand, and India.

Contact:  Cory Roberson - Cory@RIAconsults.com