Products / Services



Compliance Consulting



Compliance Management Software


Broker-Dealer Software


Business Management Software

Business Continuity/Succession


Cyber Security


Penetration/System Testing

Who We Are

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FIN Compliance is now a part of the member/partner vendor network of

National Association of Personal Financial Advisors

National Association of Personal Financial Advisors is an American financial planning trade organization created in 1983 to expand the use of fee-only financial advisors by individual consumers.

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Other Partners

Operations and systems development resource for investment advisors and other businesses.

Go to Website Here

My Compliance Blog

06 June 2019 By Cory Roberson

Alert: SEC Adopts Regulation B-I and Form CRS - Implications?

30 May 2019 By Cory Roberson

SEC Risk Alert - Data Security and Use of Third Party Vendors

Testimonials

"Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks."

K. Daniels, Client Relationship Manager, Summit Wealth Partners, LLC.

"I can't say enough good things about Cory. He's done a great job fixing and maintaining our compliance issues. I highly recommend Cory!"

Scott Schwartz, CFP ®, CIMA ®, Alexander Beard, USA, LLC

"Cory is an outstanding professional. As a consultant to my growing investment practice, he has added a tremendous amount of value. LinkedIN has 7 "top attribute" boxes,but limits your selection to 3. I would definitely select all 7 if given the opportunity! He works hard, knows his stuff, and provides great value. More than anything, I appreciate that Cory is an individual with strong moral values and principals, which is evidenced by his extra-curricular activities and volunteerism."

Allan Boomer. Managing Partner of Momentum Advisors

"Cory has been Financial Planning Hawaii's third-party compliance consultant for many years. He is an expert in his field and is totally responsive. I recommend his services unequivocally to any RIA."

JR Robinson, Founder at Financial Planning Hawaii, Inc. | Co-Founder, CEO at Nest Egg Guru, Inc.