Serving Los Angeles, San Francisco, and All of California
FINOP and Series 27 Consulting for California Broker-Dealers
California has more FINRA branch offices than any other state, spread across two major financial centers. We give California broker-dealers a licensed Financial and Operations Principal, accurate regulatory reporting, and compliance support, wherever in the state you operate.
- FINRA Firms Headquartered
- 299
- FINRA Branch Offices
- 14,711
- FINRA Firms Headquartered
- 299
- 2nd in the US
- FINRA Branch Offices
- 14,711
- Most in the US
Source: FINRA 2026 Industry Snapshot, year-end 2025 counts. Reviewed October 2026.
25+
Years in Financial Services
50+
Years of Combined Team Experience
5
Securities Licenses: Series 7, 24, 27, 65, and 99
CPA
Led by a Certified Public Accountant and MBA
The California Landscape
The Largest Branch Network in the Country
At the end of 2025, California had 14,711 FINRA branch offices, more than any other state, and 299 FINRA-registered firms headquartered within its borders, second only to New York. That activity is split between two major centers, Los Angeles and San Francisco, each with its own FINRA and SEC presence.
California firms answer to FINRA, which has offices in Los Angeles and San Francisco; the SEC, whose Los Angeles and San Francisco Regional Offices divide the state between them; and the Department of Financial Protection and Innovation (DFPI), which issues broker-dealer and investment adviser certificates under the Corporate Securities Law of 1968.
Our model suits a state this size. We begin with an on-site meeting, then deliver the monthly work remotely and schedule around Pacific time, so a firm in San Diego receives the same attention as one in San Francisco.
Who You Answer To
Every California broker-dealer works under three layers of oversight.
Self-Regulatory Organization
FINRA
Maintains offices in Los Angeles and San Francisco.
Official Sourcefor FINRA (opens in a new tab)Federal Regulator
SEC Los Angeles and San Francisco Regional Offices
Southern California is covered from Los Angeles and Northern California from San Francisco, divided by ZIP code.
Official Sourcefor SEC Los Angeles and San Francisco Regional Offices (opens in a new tab)State Regulator
Department of Financial Protection and Innovation
Issues broker-dealer and investment adviser certificates under the Corporate Securities Law of 1968.
Official Sourcefor Department of Financial Protection and Innovation (opens in a new tab)
What We Do
Outsourced Support for California Firms
From a new firm in Los Angeles to an established practice in the Bay Area, we take on the financial, operational, and compliance work that keeps your broker-dealer on solid ground.
FINOP and Series 27 Consulting
A licensed Financial and Operations Principal for your firm, with net capital computations, FOCUS reports, Schedule I, and FINRA and SIPC filings prepared on schedule.
Learn MoreCompliance Services
Registration, CRD administration, compliance examinations, continuing education, and written supervisory procedures built to stand up to review.
Learn MoreAML Independent Testing
Independent testing of your anti-money laundering program under FINRA Rule 3310, with clear findings and practical recommendations.
Learn MorePre-Membership Support
For new and pending broker-dealers: accounting system design, pre-membership interviews, and FINRA's financial questions handled for you.
Learn MoreRegistered Investment Advisor Services
Registrations and ADV filings, compliance program design, trade review, and mock audits for registered investment advisors.
Learn MoreAccounting and Bookkeeping
Accurate, organized books with remote access, so you always know exactly where your firm stands financially.
Learn More
Getting Started
How We Work With California Firms
A clear path from the first call to ongoing support, built around how your firm already operates.
- 01
Free Consultation
A no-cost introductory call to learn how your firm is structured, where it stands with FINRA, and the support you need.
- 02
Initial On-Site Meeting
We start at your California office, reviewing your books, records, and procedures firsthand. From there, we work remotely or assign a contractor to your office.
- 03
Licensed With Your Firm
After an initial interview and due diligence review, a member of our team can be licensed with your broker-dealer in a few days.
- 04
Ongoing Support
Net capital computations, FOCUS reports, annual audits, and regulatory filings, handled on schedule by a FINOP who knows your firm.
What Clients Say
“FINOPCONSULTANTS.COM are true experts in their field. I would highly recommend them to any broker-dealer looking for reliable, knowledgeable FINOP support.”
FAQ
Questions From California Firms
Straight answers to what California broker-dealers ask us most. If your question is not here, we are happy to help directly.
Do you serve both Northern and Southern California?
Who regulates broker-dealers in California?
Can you work with our team across time zones?
How quickly can you act as FINOP for our California firm?
Do you support California registered investment advisors?
Nationwide Coverage
We Also Serve
Our partners are based in the New York City Tri-State Area, and we work with broker-dealers across the country.
Free Consultation
Talk to Ed About Your California Firm
Edward Samson is a CPA and MBA with more than 25 years in financial services and Series 7, 24, 27, 65, and 99 licenses. Book a free introductory call and leave with a clear view of the support your firm needs.