Outsourced FINOP Consultant for Broker-Dealers
Get experienced FINOP consulting and outsourced Series 28 services that keep financial responsibilities organized, identify issues early, and help your firm remain ready and compliant without building a full internal FINOP function.
Confidential · No obligation · Nationwide support
Stay Ahead of Filings, Capital Issues, and Regulatory Requests
FINOP services for introducing broker-dealers, including ongoing oversight and focused project support that keep regulatory responsibilities monitored, documented, and ready.
Ongoing oversight
Rule 15c3-1
Net Capital Oversight
Monthly computations, early warning monitoring, and forward planning to identify capital pressure before it becomes a regulatory issue.
Part II / IIA
FOCUS Reporting
Preparation, review, and timely filing support for FOCUS Part II or IIA, backed by reconciled numbers and organized records.
Risk Management
Capital Planning
Capital forecasting, liquidity monitoring, and threshold analysis that keep management informed and reduce last-minute decisions.
Periodic and project support
Rule 17a-5
Annual Audit Support
Year-end preparation, tie-outs, schedules, and auditor coordination for an orderly Rule 17a-5 audit.
Regulatory Response
FINRA Exam Support
Organized records, response coordination, and financial support for FINRA examinations and regulatory requests.
New Firm Support
Infrastructure Build-Out
Reporting processes, financial controls, and operating routines that keep a new broker-dealer organized from day one.
FINOP Support That Fits Where Your Firm Is Today
I work with introducing broker-dealers that need experienced financial oversight without building a full internal FINOP function. Support can be structured as ongoing fractional oversight or focused assistance for a specific need.
Formation
Forming a Broker-Dealer
Build the reporting routines, controls, and capital processes needed for an organized and compliant launch.
Ongoing
Established or Growing Firm
Add disciplined FINOP oversight that supports daily operations, regulatory reporting, and continued growth.
- Introducing broker-dealers
- Fractional Series 28 oversight
- Formation, growth, or ongoing operations
- Nationwide support
Hands-On FINOP Consulting, Backed by Principal-Level Experience
As an outsourced FINOP consultant, I bring internal FINOP experience to a flexible external role, working directly with management to keep financial reporting, controls, and regulatory responsibilities organized. Management gains clearer visibility into deadlines, capital position, open items, and what requires attention next.
Relevant experience
- Led several annual broker-dealer audits
- Participated in FINRA examinations
- Supported regulatory information requests
How I work
Direct accountability
Hands-on involvement in the books, filings, controls, and financial decisions that shape your operation.
Proactive oversight
Regular updates surface developing issues early and reduce last-minute decisions.
Operational continuity
Repeatable routines and organized records that make filings, audits, and regulatory requests easier to manage.
Let's Discuss Your FINOP Consulting Needs
Tell me where your firm is today and what support you need. I'll follow up personally to discuss your current FINOP responsibilities, the right next step, and whether my support is a suitable fit.
- Confidential conversation
- Response within one business day