3900 Veterans Memorial Highway, Suite 360, Bohemia, NY 11716

(631) 801-2900

FINOP Service

NASD Rule 1022 requires each broker-dealer to employ and designated a qualified Financial and Operations Principal (“FINOP”), Series 27. The FINOP is delegated with the responsibility for final approval and responsibility for the accuracy of financial reports submitted to any duly established securities industry regulatory body, the supervision of individuals who assist in the preparation of financial reports and ensuring compliance with SEC Net Capital rules and regulations. The financial industry regulators permit an outside individual to associate with a Broker/Dealer for the purpose of fulfilling the FINOP role.

 

Asgard has an experienced staff and a network Series 27 professionals who can serve as the FINOP on behalf of your firm, or assist your FINOP with financial record-keeping and regulatory matters. Our financial services include: monthly accounting reconciliations, net capital computation, electronic filing of monthly/quarterly FOCUS reports, FINRA assessment report, Annual Schedule I, Annual Audited Financial statements and SIPC filings.

 

Long Island Office

3900 Veterans Memorial Highway Suite 360

Bohemia, NY 11716

(631) 801-2900

 

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