Accounting Services

Outsourcing of your accounting allows you to focus on the day-to-day management of your business rather than the administrative demands of maintaining your required financial books & records.   FINOP Consulting will work with your firm to establish and maintain the accounting system in any number of unique solutions.  These customized solutions meet the stringent financial and record keeping requirements of FINRA and the SEC while providing a comfort level to your firm.   

FINOP Consulting can act as the role of bookkeeping / accountant to your firm.  We have the proper knowledge of General Accepted Accounting Principles and the issues specific to small broker dealers.  We will perform the tasks of recording account transactions, recording of accounts receivable and accounts payable, preparation of journal entries, bank reconciliations and month end close procedures.


FINOP Services for Member Broker Dealers

Outsourcing your FINOP duties allows you to focus on your core business. FINOP Consulting provides experienced FINOP capabilities. We will register as your licensed series 27 / 28 FINOP principal.  We provide:

•   Monthly review and approval of financial statements

•   Monthly calculation of net capital

•   Responsibility of monitoring net capital on a moment to moment basis in real time

•   Monthly and/or quarterly focus filing

•   Quarterly filing of the Supplemental Statement of Income

•   Periodic review of recordkeeping procedures

•   Assistance in preparing for FINRA examinations

•   Attendance at FINRA meeting

•   Annual on site reviews

Contact – to discuss your firm’s current needs and learn more about our firm.