New Broker-Dealers

Do you need to establish the proper books & records and procedures for regulatory compliance?

Need assistance setting up an accounting system and general ledger to optimize functionality and regulatory reporting?

Outsource your FINOP responsibilities to gain the necessary expertise while applying for NASD membership. Temporary or permanent FINOP services are available to new or pending brokers-dealers. Contract terms of no less than 6 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)
  • Design and implement accounting system for accrual accounting and general ledger functionality
  • Attend PMI (Pre-Membership Interview)
  • Interface with regulators before and after NASD membership as necessary
  • Prepare and transmit accurate financial information and Focus reports to the NASD
    Preparation of NASD Assessment Report
  • Full participation in your annual audit, NASD exam and annual tax return preparation

“On behalf of the staff and management of RDM Financial Group, I would like to thank you for the professionalism and efficiency you have provided us since the onset of our relationship. Your expert advice, attention to detail in the areas of accounting and compliance, and your prompt response to our requests helped a great deal in the transition to becoming a broker/dealer in 2000 and have proven to be invaluable ever since. We gladly look forward to our ongoing relationship in 2003 and hopefully in many years to come.”
Marianne Castaldo,Vice President-Accounting
RDM Financial Group, Inc.


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