Pre-Membership Broker-Dealers

Outsource your FINOP responsibilities while applying for FINRA membership with Edward Gregory and Associates, LLC. Our FINOP Consultants offer temporary or permanent FINOP services available to new or pending broker-dealers. This includes, but is not limited to:
  • License with the Firm as Financial and Operations Principal (Series 27)
  • Design and Implement an Accounting System
  • Attend Pre-Membership Interviews and Answer All Financial-Related Queries from FINRA
  • Interface with Regulators Before and After FINRA Membership as Necessary
  • Prepare and Transmit Accurate Financial Information and Focus Reports to FINRA/SEC Preparation of FINRA Assessment Report, SIPC Annual Report
  • Full Participation in Your Initial Audit as a New Member, Financial Audit, and Annual Tax Return Preparation
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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