Specialties
Industry leading compliance workflow software, expert compliance consulting. We help broker-dealers, advisors, investment firms, and hedge funds meet regulatory requirements and increase ROI. Bottom line - we have deep experience on both sides of the business, and we use it to find a solution that best fits your firm's needs.
Red Oak Software, formally AdMaster Compliance™, is a comprehensive suite of SEC 17A-4 compliant features, tailored to meet the evolving needs of financial firms, small and large. Our workflow software is the compliance review platform of choice in the financial services industry with clients having over $14 trillion in assets under management.
Minimize risk, reduce costs, and increase efficiencies with Red Oak.
Meet the Business Owner: Cathy V.
Cathy brings more than 25 years of compliance and supervisory expertise in independent broker-dealers, wire-house broker/dealers, and RIAs. Cathy served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer, and RIA. She was an Associate Manager for Prudential where she supervised 75 representatives, performing all compliance functions for the branch. She began her career as a stockbroker for Salomon Smith Barney and later moved to compliance and operations.
Cathy has a Masters of Business Management degree. She is a member of the Association of Compliance Professionals; a member of National Society of Compliance Professionals; a member of Compliance and AML Professionals; and holds FINRA Series 7, 24, 26, 63 and Life and Health licenses.