Frequently Asked Questions (FAQS) FINOP Services and FINOP Consultants

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FAQ

FAQ

We try to anticipate questions you might have about our FINOP Consultants and provide the answers here. If you need additional information, send us an email.

Q. How quickly can we get a licensed financial principal for our broker-dealer?

A. After an initial interview with the principals of your broker-dealer and a due diligence review by FINOP Consultants, we can have a member of our team licensed with your broker-dealer in a few days.

Links

Here is a list of our favorite links about broker-dealers. We hope this list helps you. If you have suggestions about other sites to include, send us an email.
Guide to Broker-Dealer Registration
Broker-Dealer Registration

Setting a New Broker-Dealer

ABOUT US

With over 25 years in the financial services industry and as a FINOP and Principal, Edwards brings extensive expertise to Series 27 consulting and broker-dealer financial oversight. His deep knowledge ensures your firm receives the best guidance for navigating FINRA regulations and maintaining compliance

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Service Area: Nationwide 
Phone: 
(732) 233-3500

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