All U.S. broker-dealers are required to employ or contract a Financial Industry Regulatory Authority Series 27 or 28 licensed professional for their business. A Financial & Operations Principal, or FinOp, can perform all the mandatory financial and operational functions for broker-dealers.
How Our FinOp Can Help your Broker-Dealer Firm
Acting as your FinOp, we ensure investor protection by being responsible for your firm's compliance with applicable net capital, recordkeeping and other financial and operational rules.
The Benefits of FinOp and Accounting Experience
Essential records and reports are presented to regulatory agencies on the accrual basis, an accounting language that is best understood by experienced financial professionals. Contracting with our Finop provides your firm with professionals who are also CPAs with years of practicing public accounting and preparation of U.S. GAAP financials.
We have the qualifications to register as your firm's FinOp of record with FINRA and take on the responsibility of supervising your firm's financial and operational duties.
Get Outsourced FinOp Assistance
We understand firms have limited resources and may not be able to support a full-time Financial and Operations Principal. Our firm offers outsourced FinOp services to U.S. registered broker-dealers. We can also assist start-up and smaller broker- dealers.
We offer our clients the benefit of Series 27 licensure and decades of accounting experience. Let us handle all your FinOp responsibilities; contact our office today to learn more about how we can help you.