Serving Miami, Boca Raton, Tampa, and All of Florida
FINOP and Series 27 Consulting for Florida Broker-Dealers
More broker-dealers are choosing Florida every year. We help firms establishing or growing in the state with a licensed Financial and Operations Principal, accurate regulatory reporting, and compliance support from day one.
- FINRA Firms Headquartered
- 261
- FINRA Branch Offices
- 11,952
- FINRA Firms Headquartered
- 261
- 3rd in the US
- FINRA Branch Offices
- 11,952
- 2nd 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 Florida Landscape
A Steady Shift South
Among the five largest broker-dealer states, Florida is the only one where the number of headquartered firms grew every year from 2021 to 2025, rising from 204 to 261, an increase of about 28 percent, while the national total fell by about 6 percent. Florida also has 11,952 FINRA branch offices, the second most of any state.
Florida firms answer to FINRA, which maintains an office in Boca Raton; the SEC's Miami Regional Office; and the Office of Financial Regulation, whose Division of Securities registers and examines broker-dealers, state investment advisers, and their associated persons under Chapter 517 of the Florida Statutes.
Relocating or launching a firm means getting the accounting, net capital, and reporting right from the start. We begin with an on-site meeting, then support you remotely or with a contractor in your office.
Sources, Reviewed October 2026
Who You Answer To
Every Florida broker-dealer works under three layers of oversight.
Self-Regulatory Organization
FINRA
Maintains an office in Boca Raton.
Official Sourcefor FINRA (opens in a new tab)Federal Regulator
SEC Miami Regional Office
Covers Florida along with Louisiana, Mississippi, Puerto Rico, and the US Virgin Islands.
Official Sourcefor SEC Miami Regional Office (opens in a new tab)State Regulator
Office of Financial Regulation, Division of Securities
Registers and examines broker-dealers, state investment advisers, and their associated persons under Chapter 517, Florida Statutes.
Official Sourcefor Office of Financial Regulation, Division of Securities (opens in a new tab)
What We Do
Outsourced Support for Florida Firms
Whether you are moving an established firm to Florida or launching a new one in Miami, Boca Raton, or Tampa, we take on the financial, operational, and compliance work that keeps a broker-dealer in good standing.
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 Florida 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 Florida 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
“I wanted to thank finopconsultants.com for their assistance. They converted my Quickbooks and got our books in order quickly and accurately.”
FAQ
Questions From Florida Firms
Straight answers to what Florida broker-dealers ask us most. If your question is not here, we are happy to help directly.
Do you work with firms relocating to Florida?
Who regulates broker-dealers in Florida?
Do Florida branch offices need to be filed with the state?
How quickly can you act as FINOP for our Florida firm?
Do you support Florida 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 Florida 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.