Roberts Compliance Services, LLC

Offering contractual Broker/Dealer, Registered Investment Advisor and Municipal Advisor Consultation.

Registrations include Series 4, 7, 24, 50, 53, 54, and 66.

Our Services

  • Broker/Dealer

    Form BD/BR, U4 and U5, and Web CRD Management

    Books and Records Analysis

    Written Supervisory Procedures

    Auditing: AML, 3120, Branch & OSJ

    Correspondence and Email Examination

    Advertising/Sales & Marketing Literature Review

    Privacy Policy Check

    New Business/Suitability Review

    Business Continuity Planning

    Vendor Due Diligence

    Reg BI Form CRS, Disclosure Document

    Best Execution and Trade Blotter Review

    KYC, FinCen, OFAC

  • Registered Investment Advisor

    ADV Parts 1, 2a, 2b, and 3

    Reg BI Form CRS, Disclosure Document

    Compliance Manual

    Code of Ethics

    Web IARD

    Correspondence and Email Examination

    Advertising/Sales & Marketing Literature Review

    Privacy Policy Check

    New Business/Suitability Review

    Business Continuity Planning

    Vendor Due Diligence


  • Additional Services

    Outsourced CCO

    Ability to serve in the following Principal roles:

    • General Securities

    • Options

    • Municipal

    • Municipal Advisor