Series 27/28 Fin-Op

Series 27/28 Fin-Op

Provide an outsourced FINRA Series 27 financial and operations principal with thirty years of industry experience. Fin-Op responsibilities include, but are not limited to, ensuring current books and records, continual net capital compliance, and timely accurate quarterly FINRA regulatory reporting. We partner with your firm to increase efficiency and to protect your firm, while cutting cost.