Having a seasoned Financial and Operations Principal is essential to running a compliant broker dealer. Our staff is comprised of Series 27/28 licensed professionals with years of financial and regulatory experience who can register as your FinOp. We are proud of the staff's accuracy and wealth of accounting and regulatory knowledge.

Our monthly FinOp Packages include the preparation, review, and approval of the following:

• Balance Sheet
• Income statement
• General Ledger
• Net Capital Computation
• Third Party Verification of Allowable Assets with Reconciliations
• Quarterly Contact Questionnaire Update
• FOCUS II or IIA Filing
• Schedule 1

For more information about our FinOp services, please contact us at (877) 542-6759.