Existing Broker-Dealers

Need to replace a FINOP that resigned or want to reduce costs by outsourcing?

Need an experienced and knowledgable FINOP to help grow or streamline your business?

Need help with a CMA application (Rule 1017) to add a business line or brokers?

Outsource your FINOP responsibilities to save money and obtain industry experience and knowledge. Temporary or permanent FINOP services are available to existing brokers-dealers. Contract terms of no less than 3 months for a monthly agreed-upon fee based on size and complexity of business. Services include:

  • License with firm as Financial and Operations Principal (Series 27)
  • Review accounting systems for accrual accounting and general ledger functionality
  • Review monthly financials and propose necessary accounting adjustments
  • Prepare and transmit accurate financial information and Focus reports to the FINRA
  • Preparation of FINRA Assessment Report
  • Interface with regulators as necessary
  • Full participation in your annual audit, FINRA exam and annual tax return preparation

“We feel fortunate to have had Ken George as our FINOP since 1996. He helped us setup our broker-dealer and has advised Pinnacle Investments, Inc. on securing subordinated loans and expanding business lines into Underwriting. And of course, timely and accurate financial filings including Focus Reports, FINRA assessment reports and net capital computations have made Ken invaluable to our firm.”
Dan Raite and Gregg Kidd, Principals
Pinnacle Investments, Inc.


Kenneth R. George, CPA
Series 27 and 63
Voice Mail 603-380-5435
Fax 603-386-6792