OUTSOURCED FINOP

Broker Dealers need an experienced Chief Financial Officer and Financial & Operations Principal (“FINOP”). Our Financial Professionals can serve either as an outsourced FINOP or support your internal FINOP. Our FINOPs are Series 27 & 28 licensed and have over 25+ years of industry experience supporting broker dealers. Our FINOPs are knowledgeable in these categories: Preservation of Accurate Books and Records Financial Regulatory Reporting Net Capital Compliance Customer Protection Our FINOP will File your monthly or quarterly FOCUS reports, Compute Net Capital, File SSOI, Form Custody, and SIPC, Support the annual audit process. Liaise with FINRA Regulatory Coordinator. Advise clients on expense sharing agreements.