Professional Series 27 Consulting Services
Optimize your broker-dealer operations with FINOP Consultants, LLC’s Series 27 consulting and comprehensive FINOP reporting solutions. Simplify your FINRA membership process by entrusting your FINOP responsibilities to our seasoned experts. Designed for new and pending broker-dealers, our flexible support options—temporary or permanent—ensure full compliance and efficient financial operations tailored to your unique needs.
Our Services
At FINOP Consultants, LLC, we offer a full range of Series 27 consulting and FINOP services (the best in market) to support broker-dealers with regulatory compliance and financial operations. Our expert services include:
- Act as your Financial and Operations Principal (Series 27) to ensure full compliance with FINRA regulations.
- Tailor accounting systems to meet the specific needs of broker-dealers under Series 27 requirements.
- Attend pre-membership interviews and handle all financial-related questions from FINRA, ensuring smooth approval for Series 27 compliance.
- Interface with regulators both before and after FINRA membership, providing expert guidance on Series 27 requirements.
- Prepare and transmit accurate Series 27 financial information, FOCUS reports, and FINRA/SIPC reports, ensuring regulatory accuracy.
- Full participation in initial audits as a new member, including financial audits, and preparing annual tax returns under Series 27 compliance.
- Prepare monthly Series 27 net capital computations and financial adjustments for compliance.
- Review Monthly Financials and Propose Necessary Accounting Adjustments
- Prepare and file monthly or quarterly FOCUS reports, ensuring that all Series 27 financial reporting standards are met.
- Ensure the accurate filing of Schedule I as part of your Series 27 compliance.
- Conduct annual on-site visits each calendar year to ensure that your Series 27 compliance remains intact.
- Enhance Series 27 related written supervisory procedures, ensuring your financial responsibility rules meet all necessary regulations.
- Full participation in the firm’s annual audit, ensuring all financial processes are aligned with Series 27 standards.
Discover the difference our FINOP services and Series 27 consulting can make for your broker-dealer operations. Contact us today to learn how our expertise, tailored solutions, and commitment to excellence can elevate your financial oversight. Let us guide you through the complexities of FINRA membership and provide the support your firm needs to thrive under Series 27 compliance.